1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series A Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
4,250,000
|
$
(4)
|
I
|
By Foundation Capital II, L.P.
(2)
|
Series A Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
500,000
|
$
(4)
|
I
|
By Foundation Capital II Entrepreneurs Fund, LLC
(2)
|
Series A Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
250,000
|
$
(4)
|
I
|
By Foundation Capital II Principals Fund, LLC
(2)
|
Series B Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
1,128,380
|
$
(4)
|
I
|
By Foundation Capital II, L.P.
(2)
|
Series B Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
132,750
|
$
(4)
|
I
|
By Foundation Capital II Entrepreneurs Fund, LLC
(2)
|
Series B Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
66,376
|
$
(4)
|
I
|
By Foundation Capital II Principals Fund, LLC
(2)
|
Series C Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
1,507,781
|
$
(4)
|
I
|
By Foundation Capital Leadership Fund, L.P.
(3)
|
Series C Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
40,207
|
$
(4)
|
I
|
By Foundation Capital Leadership Principals Fund, LLC
(3)
|
Series A Convertible Preferred Stock
|
02/11/2004 |
Â
(1)
|
Common
|
100,000
|
$
(4)
|
D
(5)
|
Â
|
Common
|
02/11/2004 |
Â
(1)
|
Common
|
80,000
|
$
(6)
|
D
(5)
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
The expiration date is not relevant to the conversion of these securities. |
(2) |
For additional information on joint filing, see Form 3's filed for William B. Elmore, Foundation Capital Management Co. II, LLC, and FC Leadership Management Co., LLC. James C. Anderson ("Anderson"), Kathryn C. Gould ("Gould"), Paul G. Koontz ("Koontz"), and Michael N. Schuh ("Schuh") are Managers of Foundation Capital Management Co. II, LLC ("FCMII"), which serves as the sole General Partner of Foundation Capital II, L.P. ("FCII") and the sole Manager of Foundation Capital II Entrepreneurs Fund, LLC ("FCIIE") and Foundation Capital II Principals Fund, LLC ("FCIIP"). FCMII exercises sole voting and investment power over the shares owned by FCII, FCIIE, and FCIIP. As Managers of FCIIM, Anderson, Gould, Koontz and Schuh are deemed to share voting and investment powers over the shares held by FCII, FCIIE, and FCIIP. Each member of the group disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
(3) |
For additional information on joint filing, see Form 3's filed for William B. Elmore, Foundation Capital Management Co. II, LLC, and FC Leadership Management Co., LLC. Kathryn C. Gould ("Gould"), Adam Grosser ("Grosser"), Paul G. Koontz ("Koontz"), and Michael N. Schuh ("Schuh") are Managers of FC Leadership Management Co., LLC ("FCLM"), which serves as the sole General Partner of Foundation Capital Leadership Fund, L.P. ("FCL") and the sole Manager of Foundation Capital Leadership Principals Fund, LLC ("FCLP"). FCLM exercises sole voting and investment power over the shares owned by FCL and FCLP. As Managers of FCLM, Gould, Koontz, Schuh and Grosser are deemed to share voting and investment powers over the shares held by FCL and FCLP. Each member of the group disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. |
(4) |
Each one share of Preferred Stock is convertible into approximately 0.75 shares of Common Stock. |
(5) |
These securities were inadvertently omitted from the Form 3 that was originally filed as a joint filing by Kathryn C. Gould on 02/12/2004. These shares are solely and directly owned by Adam Grosser. For additional information on joint filing, see Form 3's filed for William B. Elmore, Kathryn C. Gould, Foundation Capital Management Co. II, LLC, and FC Leadership Management Co., LLC. |
(6) |
Each one share of Common Stock is convertible into approximately 0.75 shares of Common Stock. |