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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 | |
Worldview Equity I, L.L.C. 99 ALMADEN BLVD 6TH FLOOR SAN JOSE, CA 95113 |
X | |||
WORLDVIEW TECHNOLOGY PARTNERS IV LP 99 ALMADEN BLVD 6TH FLOOR SAN JOSE, CA 95113 |
X | |||
WORLDVIEW STRATEGIC PARTNERS IV LP 99 ALMADEN BLVD 6TH FLOOR SAN JOSE, CA 95113 |
X | |||
Orsak Michael 99 ALMADEN BLVD 6TH FLOOR SAN JOSE, CA 95113 |
X | |||
WORLDVIEW TECHNOLOGY INTERNATIONAL IV, L.P. 99 ALMADEN BLVD 6TH FLOOR SAN JOSE, CA 95113 |
X | |||
Tanaka Susumu 99 ALMADEN BLVD 6TH FLOOR SAN JOSE, CA 95113 |
X | |||
Worldview Capital IV, L.P. 99 ALMADEN BLVD 6TH FLOOR SAN JOSE, CA 95113 |
X |
/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C | 03/24/2017 | |
**Signature of Reporting Person | Date | |
/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., the general partner of Worldview Technology Partners IV, L.P. | 03/24/2017 | |
**Signature of Reporting Person | Date | |
/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., the general partner of Worldview Strategic Partners IV, L.P. | 03/24/2017 | |
**Signature of Reporting Person | Date | |
/s/ James N. Strawbridge, as attorney-in-fact for Michael Orsak | 03/24/2017 | |
**Signature of Reporting Person | Date | |
/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., the general partner of Worldview Technology International IV, L.P. | 03/24/2017 | |
**Signature of Reporting Person | Date | |
/s/ James N. Strawbridge, as attorney-in-fact for Susumu Tanaka | 03/24/2017 | |
**Signature of Reporting Person | Date | |
/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P. | 03/24/2017 | |
**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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.70 to $9.75, inclusive. The reporting person undertakes to provide Ooma, Inc., any security holder of Ooma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(2) | Shares held directly by Worldview Strategic Partners IV, L.P. ("Strategic IV"). Worldview Capital IV, L.P., the general partner of Strategic IV, and Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., may each be deemed to have sole voting and dispositive power over the shares held by Strategic IV. James Wei and Susumu Tanaka are members of Worldview Equity I, L.L.C., Mike Orsak is the managing member of Worldview Equity I, L.L.C. and they may be deemed to share voting and dispositive power over the shares held by Strategic IV. Such persons and entities disclaim beneficial ownership of shares held by Strategic IV, except to the extent of any pecuniary interest therein. |
(3) | Shares held directly by Worldview Technology International IV, L.P. ("International IV"). Worldview Capital IV, L.P., the general partner of International IV, and Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., may each be deemed to have sole voting and dispositive power over the shares held by International IV. James Wei and Susumu Tanaka are members of Worldview Equity I, L.L.C., Mike Orsak is the managing member of Worldview Equity I, L.L.C. and they may be deemed to share voting and dispositive power over to share voting and dispositive power over the shares held by International IV. Such persons and entities disclaim beneficial ownership of shares held by International IV, except to the extent of any pecuniary interest therein. |
(4) | Shares held directly by Worldview Technology Partners IV, L.P. ("Technology IV"). Worldview Capital IV, L.P., the general partner of Technology IV, and Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., may each be deemed to have sole voting and dispositive power over the shares held by Technology IV. James Wei and Susumu Tanaka are members of Worldview Equity I, L.L.C., Mike Orsak is the managing member of Worldview Equity I, L.L.C. and they may be deemed to share voting and dispositive power over to share voting and dispositive power over the shares held by Technology IV. Such persons and entities disclaim beneficial ownership of shares held by Technology IV, except to the extent of any pecuniary interest therein. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.70 to $9.90, inclusive. The reporting person undertakes to provide Ooma, Inc., any security holder of Ooma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.70 to $9.95, inclusive. The reporting person undertakes to provide Ooma, Inc., any security holder of Ooma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
Remarks: This report is one of two reports, each on a separate on Form 4 but relating to the same transaction, being filed separately by Worldview Equity I, L.L.C. and James Wei, as reporting persons. |