- Statement of Changes in Beneficial Ownership (4)
February 17 2011 - 8:03PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
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hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
YANG GEOFFREY Y
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2. Issuer Name
and
Ticker or Trading Symbol
BigBand Networks, Inc.
[
BBND
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O REDPOINT VENTURES, 3000 SAND HILL ROAD, SUITE 290
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/15/2011
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(Street)
MENLO PARK, CA 94025
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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2/15/2011
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S
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24400
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D
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$2.74
(1)
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147700
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I
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By Broadband Fund, L.P.
(4)
(5)
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Common Stock
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2/16/2011
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S
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20800
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D
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$2.68
(2)
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126900
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I
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By Broadband Fund, L.P.
(4)
(5)
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Common Stock
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2/17/2011
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S
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53000
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D
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$2.67
(3)
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73900
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I
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By Broadband Fund, L.P.
(4)
(5)
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Common Stock
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887613
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I
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By Redpoint Technology Partners Q-I, L.P.
(4)
(5)
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Common Stock
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141831
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I
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By Redpoint Technology Partners A-I, l.P.
(4)
(5)
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Common Stock
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8984679
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I
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By Redpoint Ventures I, L.P.
(4)
(5)
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Common Stock
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283824
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I
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By Redpoint Associates I, LLC
(4)
(5)
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Common Stock
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2307624
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I
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By Redpoint Omega, L.P.
(4)
(5)
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Common Stock
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65255
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I
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By Redpoint Omega Associates, LLC
(4)
(5)
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Common Stock
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46400
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D
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Common Stock
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2000
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I
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By Kevin Wu-Bing Yang 1999 Trust U/T/A Dated 10/13/99
(6)
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Common Stock
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2000
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I
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By Peter Wu-Sung Yang 1998 Trust U/T/A Dated 3/19/98
(7)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $2.70 to $2.80 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
2)
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Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $2.66 to $2.70 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
3)
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Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $2.61 to $2.70 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
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(
4)
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The Reporting Person is a Manager of BBF Management, LLC, which serves as the general partner of Broadband Fund, L.P. ("BBF"). The Reporting Person is a Manager of Redpoint Omega, LLC, which serves as the general partner of Redpoint Omega, L.P. ("RO"). The Reporting Person is a Manager of Redpoint Omega Associates, LLC ("ROA"). The Reporting Person is a Manager of Redpoint Ventures I, LLC, which serves as the general partner of Redpoint Ventures I, L.P. ("RV I"), Redpoint Technology Partners Q-I, L.P. ("RTP Q-I") and Redpoint Technology Partners A-I, L.P. ("RTP A-I"). The Reporting Person is a Manager of Redpoint Associates I, LLC ("RA"). The Reporting Person shares voting and investment power over the shares held by BBF, RO, ROA, RV I, RTP Q-I, RTP A-I and RA and disclaims beneficial ownership of the shares held by BBF, RO, ROA, RV I, RTP Q-I, RTP A-I and RA except to the extent of his proportionate pecuniary interest therein.
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(
5)
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BBF Management, LLC, Redpoint Omega, LLC and Redpoint Ventures I, LLC owns no securities of the Issuer directly.
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(
6)
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The shares are held by the Kevin Wu-Bing Yang 1999 Trust U/T/A Dated 10/13/99 (the "Kevin Trust"). The Reporting Person is a trustee of the Kevin Trust.
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(
7)
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The shares are held by the Peter Wu-Sung Yang 1998 Trust U/T/A Dated 3/19/98 (the "Peter Trust"). The Reporting Person is a trustee of the Peter Trust.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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YANG GEOFFREY Y
C/O REDPOINT VENTURES
3000 SAND HILL ROAD, SUITE 290
MENLO PARK, CA 94025
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X
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X
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Signatures
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/s/ Geoffrey Y. Yang
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2/17/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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