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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 | ||||||||
Warrant to purchase shares of Common Stock | $ 4.8 (3) (4) | 01/18/2019 | X | 58,333 (3) (4) | 01/28/2013 | 01/27/2019(3) | Common Stock | 58,333 | $ 0 | 0 | I | By Funds (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Battery Ventures IX, L.P. C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
Battery Investment Partners IX, LLC C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
Battery Partners IX, LLC C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
Battery Management Corp. ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
Agrawal Neeraj C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
BROWN MICHAEL MAURICE C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
Feldman Jesse C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
Lee Roger H C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
TABORS R DAVID C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | |||
TOBIN SCOTT R C/O BATTERY VENTURES ONE MARINA PARK DRIVE, SUITE 1100 BOSTON, MA 02210 |
X | X |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Ventures IX, L.P.) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Investment Partners IX, LLC) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Partners IX, LLC) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Battery Management Corp.) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Neeraj Agrawal) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Michael M. Brown) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Jesse R. Feldman) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Roger H. Lee) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of R. David Tabors) | 04/30/2019 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Schiavo (acting as attorney-in-fact on behalf of Scott R. Tobin) | 04/30/2019 | |
**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 Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
(2) | Consists of 1,991,965 shares of the Issuer's Common Stock held by Battery Ventures IX, L.P. ("BVIX") and 19,917 shares of the Issuer's Common Stock held by Battery Investment Partners IX, LLC ("BIPIX"). Battery Partners IX, LLC ("BPIX") is the sole general partner of BVIX and the sole manager of BIPIX. Battery Management Corp. ("BMC") is the investment adviser of BPIX. Neeraj Agrawal, Michael M. Brown, Jesse Feldman, Roger H. Lee, R. David Tabors and Scott R. Tobin (collectively, the "Managing Members") are the managing members of BPIX. The Managing Members are also officers of BMC (collectively, the "Officers"). The Managing Members and the Officers, in their respective capacities as such, may be deemed to have shared voting and dispositive power over the shares held by BVIX and BIPIX. |
(3) | Effective March 13, 2015, the warrants were amended to reduce the exercise price to $0.40 per share (before giving effect to the Reverse Stock Split referenced in footnote 4 below) and to change the expiration date to January 28, 2019. |
(4) | Effective August 11, 2015, the Issuer effected a 1-for-12 reverse stock split of the Issuer's Common Stock (the "Reverse Stock Split"). All share numbers and the exercise price of the warrants reported herein give effect to the Reverse Stock Split. |