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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock (1) | (1) | 07/23/2013 | C | 1,028,381 | (3) | (4) | Common Stock | 1,028,381 | (1) | 0 | I | Directly owned by USVP VIII (2) | |||
Series A Preferred Stock (1) | (1) | 07/23/2013 | C | 9,505 | (3) | (4) | Common Stock | 9,505 | (1) | 0 | I | Directly owned by EP VIII-A (2) | |||
Series A Preferred Stock (1) | (1) | 07/23/2013 | C | 4,817 | (3) | (4) | Common Stock | 4,817 | (1) | 0 | I | Directly owned by EP VIII-B (2) | |||
Series A Preferred Stock (1) | (1) | 07/23/2013 | C | 9,926 | (3) | (4) | Common Stock | 9,926 | (1) | 0 | I | Directly owned by AFF VIII (2) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 1,215,407 | (3) | (4) | Common Stock | 1,215,407 | (1) | 0 | I | Directly owned by USVP VIII (2) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 11,233 | (3) | (4) | Common Stock | 11,233 | (1) | 0 | I | Directly owned by EP VIII-A (2) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 5,694 | (3) | (4) | Common Stock | 5,694 | (1) | 0 | I | Directly owned by EP VIII-B (2) | |||
Series B Preferred Stock (1) | (1) | 07/23/2013 | C | 11,731 | (3) | (4) | Common Stock | 11,731 | (1) | 0 | I | Directly owned by AFF VIII (2) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 1,505,032 | (3) | (4) | Common Stock | 1,505,032 | (1) | 0 | I | Directly owned by USVP VIII (2) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 13,910 | (3) | (4) | Common Stock | 13,910 | (1) | 0 | I | Directly owned by EP VIII-A (2) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 7,051 | (3) | (4) | Common Stock | 7,051 | (1) | 0 | I | Directly owned by EP VIII-B (2) | |||
Series B-1 Preferred Stock (1) | (1) | 07/23/2013 | C | 14,527 | (3) | (4) | Common Stock | 14,527 | (1) | 0 | I | Directly owned by AFF VIII (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROOT JONATHAN D 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
X | X |
/s/ Yvonne Li, Attorney-in-Fact for Jonathan D. Root | 07/23/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Each share of Series A, Series B and Series B-1 Preferred Stock automatically converted on a one-to-one basis into Common Stock immediately prior to the consummation of the Issuer's initial public offering on July 23, 2013. |
(2) | The reported securities are owned directly by each of U.S. Venture Partners VIII, L.P. ("USVP VIII"), USVP VIII Affiliates Fund, L.P. ("AFF VIII"), USVP Entrepreneur Partners VIII-A, L.P. ("EP VIII-A") and USVP Entrepreneur Partners VIII-B, L.P. ("EP VIII-B" and together with USVP VIII, AFF VIII and EP VIII-A, the "USVP Funds"). Presidio Management Group VIII, LLC, or PMG VIII, is the general partner of the USVP Funds, and may be deemed to have sole voting and dispositive power over the shares held by the USVP Funds. PMG VIII and Irwin Federman, Winston Fu, Steven Krausz, David Liddle, Jonathan Root, Christopher Rust, Casey Tansey and Philip Young, the managing members of PMG VII, who may be deemed to share voting and dispositive power over the reported securities, disclaim beneficial ownership of the reported securities held by the USVP Funds except to the extent of any pecuniary interest therein. |
(3) | The securities are immediately convertible. |
(4) | The expiration date is not relevant to the conversion of these securities. |