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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-1 Preferred Stock | (1) | 11/18/2013 | C | 19,902 | (1) | (3) | Common Stock | 19,902 | (1) | 0 | I | Held directly by Gabriel Legacy Fund II, L.P. (2) | |||
Series A-1 Preferred Stock | (1) | 11/18/2013 | C | 6,913,894 | (1) | (3) | Common Stock | 6,913,894 | (1) | 0 | I | Held directly by Gabriel Venture Partners II, L.P. (2) | |||
Series B Preferred Stock | (1) | 11/18/2013 | C | 2,103 | (1) | (3) | Common Stock | 2,103 | (1) | 0 | I | Gabriel Legacy Fund II, L.P. (2) | |||
Series B Preferred Stock | (1) | 11/18/2013 | C | 703,556 | (1) | (3) | Common Stock | 703,556 | (1) | 0 | I | Held directly by Gabriel Venture Partners II, L.P. (2) | |||
Series C-1 Preferred Stock | (1) | 11/18/2013 | C | 10,321 | (1) | (3) | Common Stock | 10,321 | (1) | 0 | I | Held directly by Gabriel Legacy Fund II, L.P. (2) | |||
Series C-1 Preferred Stock | (1) | 11/18/2013 | C | 3,453,158 | (1) | (3) | Common Stock | 3,453,158 | (1) | 0 | I | Held directly by Gabriel Venture Partners II, L.P. (2) | |||
Series F Preferred Stock | (1) | 11/18/2013 | C | 37 | (1) | (3) | Common Stock | 37 | (1) | 0 | I | Held directly by Gabriel Legacy Fund II, L.P. (2) | |||
Series F Preferred Stock | (1) | 11/18/2013 | C | 12,463 | (1) | (3) | Common Stock | 12,463 | (1) | 0 | I | Held directly by Gabriel Venture Partners II, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gabriel Investment Partners II, L.P. 999 BAKER WAY, SUITE 400 SAN MATEO, CA 94404 |
X | |||
GABRIEL LEGACY FUND II LP 999 BAKER WAY STE 400 SAN MATEO, CA 94404 |
X | |||
GABRIEL VENTURE PARTNERS II LP 999 BAKER WAY SUITE 400 SAN MATEO, CA 94404 |
X | |||
BOLANDER FREDERICK W W C/O GABRIEL VENTURE PARTNERS 999 BAKER WAY, SUITE 400 SAN MATEO, CA 94404 |
X | |||
Chou Scott C/O GABRIEL VENTURE PARTNERS 999 BAKER WAY, SUITE 400 SAN MATEO, CA 94404 |
X |
/s/ Gabriel Investment Partners II, L.P. by Frederick W.W. Bolander, General Partner | 11/20/2013 | |
**Signature of Reporting Person | Date | |
/s/ Gabriel Venture Partners II, L.P. by Frederick W.W. Bolander, General Partner | 11/20/2013 | |
**Signature of Reporting Person | Date | |
/s/ Gabriel Legacy Fund II, L.P. by Frederick W.W. Bolander, General Partner | 11/20/2013 | |
**Signature of Reporting Person | Date | |
/s/ Frederick W.W. Bolander | 11/20/2013 | |
**Signature of Reporting Person | Date | |
/s/ Scott Chou | 11/20/2013 | |
**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 Preferred Stock automatically converted into 0.666666667 shares of the Issuer's Common Stock at the closing of the Issuer's initial public offering of Common Stock for no additional consideration. |
(2) | Gabriel Investment Partners II, L.P. ("Gabriel Investment") serves as the General Partner of this entity. Scott Chou and Frederick Bolander are the managing partners of Gabriel Investment and share voting and investment power over the shares. |
(3) | None. |