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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 Convertible Preferred Stock | (1) | 09/29/2009 | C | 1,016,570 | (1) | (1) | Common Stock | 1,016,570 (2) | (1) | 0 | D | ||||
Series A Convertible Preferred Stock | (1) | 09/29/2009 | C | 483,430 | (1) | (1) | Common Stock | 483,430 (3) | (1) | 0 | D | ||||
Series B Convertible Preferred Stock | (1) | 09/29/2009 | C | 654,309 | (1) | (1) | Common Stock | 654,309 (2) | (1) | 0 | D | ||||
Series B Convertible Preferred Stock | (1) | 09/29/2009 | C | 310,209 | (1) | (1) | Common Stock | 310,209 (3) | (1) | 0 | D | ||||
Series C Convertible Preferred Stock | (1) | 09/29/2009 | C | 321,142 | (1) | (1) | Common Stock | 321,142 (2) | (1) | 0 | D | ||||
Series C Convertible Preferred Stock | (1) | 09/29/2009 | C | 152,254 | (1) | (1) | Common Stock | 152,254 (3) | (1) | 0 | D | ||||
Series D Convertible Preferred Stock | (1) | 09/29/2009 | C | 257,472 | (1) | (1) | Common Stock | 257,472 (2) | (1) | 0 | D | ||||
Series D Convertible Preferred Stock | (1) | 09/29/2009 | C | 122,068 | (1) | (1) | Common Stock | 122,068 (3) | (1) | 0 | D | ||||
Series F Convertible Preferred Stock | (1) | 09/29/2009 | C | 221,313 | (1) | (1) | Common Stock | 221,313 (2) | (1) | 0 | D | ||||
Series F Convertible Preferred Stock | (1) | 09/29/2009 | C | 104,925 | (1) | (1) | Common Stock | 104,925 (3) | (1) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NBVM GP, LLC C/O NORTH BRIDGE VENTURE PARTNERS 950 WINTER STREET, SUITE 4600 WALTHAM, MA 02451 |
X | |||
NORTH BRIDGE VENTURE PARTNERS IV A LP C/O NORTH BRIDGE VENTURE PARTNERS 950 WINTER STREET, SUITE 4600 WALTHAM, MA 02451 |
X | |||
NORTH BRIDGE VENTURE PARTNERS IV B LP C/O NORTH BRIDGE VENTURE PARTNERS 950 WINTER STREET, SUITE 4600 WALTHAM, MA 02451 |
X | |||
North Bridge Venture Management IV, L.P. C/O NORTH BRIDGE VENTURE PARTNERS 950 WINTER STREET, SUITE 4600 WALTHAM, MA 02451 |
X | |||
ANDERSON EDWARD T C/O NORTH BRIDGE VENTURE PARTNERS 950 WINTER STREET, SUITE 4600 WALTHAM, MA 02451 |
X | |||
DAMORE RICHARD A C/O NORTH BRIDGE VENTURE PARTNERS 950 WINTER STREET, SUITE 4600 WALTHAM, MA 02451 |
X |
NBVM GP, LLC /s/ Edward T. Anderson, Manager | 10/01/2009 | |
**Signature of Reporting Person | Date | |
North Bridge Venture Partners IV-A, L.P. By: North Bridge Venture Management IV, L.P., its General Partner; By: NBVM GP, LLC, its General Partner; /s/ Edward T. Anderson; Manager | 10/01/2009 | |
**Signature of Reporting Person | Date | |
North Bridge Venture Partners IV-B, L.P. By: North Bridge Venture Management IV, L.P., its General Partner; By NBVM GP LLC, its General Partner; /s/ Edward T. Anderson, Manager | 10/01/2009 | |
**Signature of Reporting Person | Date | |
North Bridge Venture Management IV, L.P. By: NBVM GP, LLC, its General Partner; /s/ Edward T. Anderson; Manager | 10/01/2009 | |
**Signature of Reporting Person | Date | |
/s/ Edward T. Anderson | 10/01/2009 | |
**Signature of Reporting Person | Date | |
/s/ Richard A. D'Amore | 10/01/2009 | |
**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 preferred stock represented herein automatically converted into one share of common stock of the issuer upon the closing of the issuer's initial public offering on September 29, 2009 without further payment of consideration. |
(2) | Represents securities held of record by North Bridge Venture Partners IV-A, L.P., or NBVP IV-A. NBVM GP, LLC, or NVBM, the sole general partner of North Bridge Venture Management IV, L.P., which is the sole general partner of NBVP IV-A, has sole voting and dispositive power over these shares. The managers of NVBM having shared voting and dispositive power over these shares are Edward T. Anderson and Richard A. D'Amore, each of whom disclaims beneficial ownership of such shares except to the extent of their pecuniary interest, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
(3) | Represents securities held of record by North Bridge Venture Partners IV-B, L.P., or NBVP IV-B. NBVM GP, LLC, or NVBM, the sole general partner of North Bridge Venture Management IV, L.P., which is the sole general partner of NBVP IV-B, has sole voting and dispositive power over these shares. The managers of NVBM having shared voting and dispositive power over these shares are Edward T. Anderson and Richard A. D'Amore, each of whom disclaims beneficial ownership of such shares except to the extent of their pecuniary interest, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |