Statement of Changes in Beneficial Ownership (4)
May 03 2018 - 5:59PM
Edgar (US Regulatory)
FORM 4
[
X
]
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
*
Horton Robert
|
2. Issuer Name
and
Ticker or Trading Symbol
MULESOFT, INC
[
MULE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
SVP People Ops, GC & Secretary
|
(Last)
(First)
(Middle)
77 GEARY STREET, SUITE 400
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/1/2018
|
(Street)
SAN FRANCISCO, CA 94108
(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
|
4/17/2018
|
|
G
|
V
|
18723
|
D
|
$0.00
|
26841
(1)
|
D
|
|
Class A Common Stock
|
5/1/2018
|
|
C
|
|
263737
|
A
|
(2)
|
290578
|
D
|
|
Class A Common Stock
|
5/1/2018
|
|
U
|
|
265208
|
D
|
(3)
|
25370
(4)
|
D
|
|
Class A Common Stock
|
5/2/2018
|
|
D
|
|
25370
(4)
|
D
|
(5)
|
0
|
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
|
Class B Common Stock
|
(2)
|
5/1/2018
|
|
C
|
|
|
263737
|
(2)
|
(2)
|
Class A Common Stock
(2)
|
263737
|
$0.00
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$0.68
|
5/2/2018
|
|
D
|
|
|
26222
|
(6)
|
8/29/2023
|
Class B Common Stock
|
26622
|
$1.85
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$2.60
|
5/2/2018
|
|
D
|
|
|
27084
|
(7)
|
2/3/2025
|
Class B Common Stock
|
27084
|
$7.07
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$7.28
|
5/2/2018
|
|
D
|
|
|
50000
|
(8)
|
6/16/2026
|
Class B Common Stock
|
50000
|
$19.79
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$7.28
|
5/2/2018
|
|
D
|
|
|
225000
|
(9)
|
6/16/2026
|
Class B Common Stock
|
225000
|
$19.79
|
0
|
D
|
|
Employee Stock Option (right to buy)
|
$21.95
|
5/2/2018
|
|
D
|
|
|
68300
|
(10)
|
12/20/2027
|
Class A Common Stock
|
68300
|
$59.65
|
0
|
D
|
|
Explanation of Responses:
|
(1)
|
Includes 1,471 shares acquired under the Issuer's 2017 Employee Stock Purchase Plan on April 26, 2018 in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
|
(2)
|
Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.
|
(3)
|
Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock (the "Transaction Consideration"). Upon consummation of the tender offer and following the conversion of tendered shares of Class B common stock to Class A common stock on a one-to-one basis, the Reporting Person received Transaction Consideration of $9,547,488.00 in cash, 18,856 shares of Salesforce common stock and $35.02 in lieu of any fractional shares of Salesforce common stock.
|
(4)
|
The shares are represented by restricted stock units, or RSUs, which vest in seven equal quarterly installments beginning on August 15, 2020.
|
(5)
|
Pursuant to the Merger Agreement, the RSUs will be assumed by Salesforce and converted into a restricted stock unit for 0.368 shares of Salesforce common stock per share of Class A common stock.
|
(6)
|
Shares subject to the option are fully vested and immediately exercisable. Pursuant to the Merger Agreement, the option was assumed by Salesforce and converted into an option to purchase 9,796 shares of Salesforce common stock at an exercise price of $1.85 per share.
|
(7)
|
Shares subject to the option vest in 48 equal monthly installment beginning on March 3, 2015. Pursuant to the Merger Agreement, the option was assumed by Salesforce and converted into an option to purchase 9,966 shares of Salesforce common stock at an exercise price of $7.07 per share.
|
(8)
|
Shares subject to the option vest in 48 equal monthly installments beginning on August 1, 2016. Pursuant to the Merger Agreement, the option was assumed by Salesforce and converted into an option to purchase 18,398 shares of Salesforce common stock at an exercise price of $19.79 per share.
|
(9)
|
Shares subject to the option vest in 36 equal monthly installments beginning on September 1, 2017. Pursuant to the Merger Agreement, the option was assumed by Salesforce and converted into an option to purchase 82,798 shares of Salesforce common stock at an exercise price of $19.79 per share.
|
(10)
|
Shares subject to the option vest in seven equal quarterly installments beginning on August 15, 2020. Pursuant to the Merger Agreement, the option was assumed by Salesforce and converted into an option to purchase 25,134 shares of Salesforce common stock at an exercise price of $59.65 per share.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Horton Robert
77 GEARY STREET, SUITE 400
SAN FRANCISCO, CA 94108
|
|
|
SVP People Ops, GC & Secretary
|
|
Signatures
|
/s/ Aref Wardak, by power of attorney
|
|
5/3/2018
|
**
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 Jun 2024 to Jul 2024
Mulesoft Class A (NYSE:MULE)
Historical Stock Chart
From Jul 2023 to Jul 2024