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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BOULDER VENTURES IV ANNEX LP 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X | |||
BOULDER VENTURES IV LP 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X | |||
BV PARTNERS IV, L.L.C. 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X | |||
Fidler Josh E 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X | |||
JONES ANDREW E 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X | |||
LEFKOFF KYLE 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X | |||
Macks Lawrence M 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X | |||
Roshko Peter 1900 NINTH STREET, STE 200 BOULDER, CO 80302 |
X |
BOULDER VENTURES IV (ANNEX), L.P. By: BV Partners IV, L.L.C., its General Partner By: /s/ Kyle Lefkoff, Managing Member | 04/08/2009 | |
**Signature of Reporting Person | Date | |
BOULDER VENTURES IV, L.P. By: BV Partners IV, L.L.C., its General Partner By:/s/ Kyle Lefkoff, Managing Member | 04/08/2009 | |
**Signature of Reporting Person | Date | |
BV PARTNERS IV, L.L.C. By:/s/ Kyle Lefkoff, Managing Member | 04/08/2009 | |
**Signature of Reporting Person | Date | |
/s/ Josh E. Fidler | 04/08/2009 | |
**Signature of Reporting Person | Date | |
/s/ Andrew E. Jones | 04/08/2009 | |
**Signature of Reporting Person | Date | |
/s/ Kyle Lefkoff | 04/08/2009 | |
**Signature of Reporting Person | Date | |
/s/ Lawrence M. Macks | 04/08/2009 | |
**Signature of Reporting Person | Date | |
/s/ Peter Roshko | 04/08/2009 | |
**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) | The shares are owned by Boulder Ventures IV (Annex), L.P. ("BV IV Annex") which is under common control with Boulder Ventures IV, L.P. ("BV IV LP"). BV Partners IV, L.L.C. ("BV IV LLC") serves as the sole General Partner of BV IV Annex, and has sole voting and investment control over the respective shares owned by BV IV Annex, and may be deemed to own beneficially the shares held by BV IV Annex. Josh E. Fidler ("Fidler"), Andrew E. Jones ("Jones"), Kyle Lefkoff ("Lefkoff"), Lawrence M. Macks ("Macks") and Peter Roshko ("Roshko") are Managing Members of BV IV LLC and share voting and dispositive power over the shares held by BV IV Annex and BV IV LP. Each of these individuals disclaims beneficial ownership of the shares reported herein, except to the extent of his respective pecuniary interest therein. |
(2) | The shares are owned by BV IV LP which is under common control with Boulder IV Annex. BV IV LLC serves as the sole General Partner, and has sole voting and investment control over the respective shares owned by BV IV LP, and may be deemed to own beneficially the shares held by BV IV LP. Fidler, Jones, Lefkoff, Macks and Roshko are Managing Members of BV IV LLC and share voting and dispositive power over the shares held by BV IV LP. Each of these individuals disclaims beneficial ownership of the shares reported herein, except to the extent of his respective pecuniary interest therein. |
(3) | Represents a pro rata in-kind distribution by BV IV Annex without consideration to its limited and general partners in accordance with the terms of its Limited Partnership Agreement. Includes 518 shares distributed to BV IV LLC, its general partner. |
(4) | Represents a pro rata in-kind distribution by BV IV LP without consideration to its limited and general partners in accordance with the terms of its Limited Partnership Agreement. Includes 31 shares distributed to BV IV LLC, its general partner. |
Remarks: This report is being filed jointly by Boulder Ventures IV (Annex), L.P., Boulder Ventures IV, L.P., BV Partners IV, L.L.C., Josh E. Fidler, Andrew E. Jones, Kyle Lefkoff, Lawrence M. Macks and Peter Roshko as of the date hereof and relates to the same transaction. Exhibit 99.1 Joint Filer Information |