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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 B Convertible Preferred Stock | (1) | 08/07/2013 | C | 1,419,244 | (1) | (1) | Common Stock | 1,419,244 | $ 0 | 0 | I | By Frazier Technology Ventures II, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 08/07/2013 | C | 256,365 | (1) | (1) | Common Stock | 256,365 | $ 0 | 0 | I | By Frazier Technology Ventures II, L.P. (2) | |||
Series D Convertible Preferred Stock | (1) | 08/07/2013 | C | 188,536 | (1) | (1) | Common Stock | 188,536 | $ 0 | 0 | I | By Frazier Technology Ventures II, L.P. (2) | |||
Series G Convertible Preferred Stock | (1) | 08/07/2013 | C | 324,023 | (1) | (1) | Common Stock | 324,023 | $ 0 | 0 | I | By Frazier Technology Ventures II, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Frazier Technology Management, LLC 601 UNION STREET, SUITE 3200 SEATTLE, WA 98101 |
Former 10% holder | |||
FRAZIER TECHNOLOGY VENTURES II L P 601 UNION STREET, SUITE 3200 SEATTLE, WA 98101 |
Former 10% holder | |||
FTVM II, L.P. 601 UNION STREET, SUITE 3200 SEATTLE, WA 98101 |
Former 10% holder |
Frazier Technology Management, L.L.C., /s/ Len Jordan, Managing Member | 08/07/2013 | |
**Signature of Reporting Person | Date | |
Frazier Technology Ventures II, L.P., By FTVM II, L.P., its general partner, /s/ Len Jordan, Managing Member of Frazier Technology Management LLC, its general partner | 08/07/2013 | |
**Signature of Reporting Person | Date | |
FTVM II, L.P., /s/ Len Jordan, Managing Member of Frazier Technology Management, L.L.C., its general partner | 08/07/2013 | |
**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 Issuer's Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering and has no expiration date. |
(2) | These shares are owned directly by Frazier Technology Ventures II, L.P. ("Frazier"), of which FTVM II, L.P. ("FTVM") is the sole general partner. Frazier Technology Management, L.L.C. ("Frazier Tech Management") is the sole general partner of FTVM and exercises voting and investment power over these shares. The managing members of Frazier Tech Management are Scott Darling, Paul Bialek, Frazier Management LLC and Len Jordan. Frazier, FTVM, Frazier Tech Management and the managing members of Frazier Tech Management disclaim beneficial ownership of these securities, except to the extent of their respective proportionate pecuniary interest therein, and this report shall not be deemed an admission that Frazier, FTVM, Frazier Tech Management or the managing members of Frazier Tech Management are the beneficial owners of such securities for Section 16 or any other purpose. Len Jordan is a director of Issuer. |