Statement of Changes in Beneficial Ownership (4)
December 04 2017 - 4:52PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
KERTZMAN MITCHELL
|
2. Issuer Name
and
Ticker or Trading Symbol
MULESOFT, INC
[
MULE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
PIER 33 SOUTH, THE EMBARCADERO, SUIT 300
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/30/2017
|
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A Common Stock
|
|
|
|
|
|
|
|
11579757
|
I
|
See footnote
(1)
(2)
|
Class A Common Stock
|
11/30/2017
|
|
S
|
|
40000
|
D
|
$22.98
|
71982
|
D
|
|
Class A Common Stock
|
12/1/2017
|
|
S
|
|
30000
|
D
|
$23.03
|
41982
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(1)
|
Consists of 11,570,987 shares held of record by Hummer Winblad Venture Partners V, L.P. ("HWVP V") for itself and 8,770 shares held of record by HWVP V as nominee for Hummer Winblad Venture Partners V-A, L.P.
|
(2)
|
Hummer Winblad Equity Partners V, L.L.C. ("HW Equity V") is the general partner of HWVP V. The Reporting Person is a managing member of HW Equity V and shares voting and dispositive power with respect to the shares held of record by HWVP V. The Reporting Person disclaims beneficial ownership of such shares except the extent of his pecuniary interests therein.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
KERTZMAN MITCHELL
PIER 33 SOUTH
THE EMBARCADERO, SUIT 300
SAN FRANCISCO, CA 94111
|
|
X
|
|
|
Signatures
|
Mitchell Kertzman, By: /s/ Ingrid Chiavacci, attorney-in-fact
|
|
12/4/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Mulesoft Class A (NYSE:MULE)
Historical Stock Chart
From Aug 2024 to Sep 2024
Mulesoft Class A (NYSE:MULE)
Historical Stock Chart
From Sep 2023 to Sep 2024