0001183755-19-000005.txt : 20190513 0001183755-19-000005.hdr.sgml : 20190513 20190513175212 ACCESSION NUMBER: 0001183755-19-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190510 FILED AS OF DATE: 20190513 DATE AS OF CHANGE: 20190513 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARANO BANDEL L CENTRAL INDEX KEY: 0001183755 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34460 FILM NUMBER: 19819741 MAIL ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 1300 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oak Investment Partners XIII, Limited Partnership CENTRAL INDEX KEY: 0001466232 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34460 FILM NUMBER: 19819742 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 203-226-8346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK INVESTMENT PARTNERS X LTD PARTNERSHIP CENTRAL INDEX KEY: 0001131676 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34460 FILM NUMBER: 19819743 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK X AFFILIATES FUND LP CENTRAL INDEX KEY: 0001143824 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34460 FILM NUMBER: 19819744 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK INVESTMENT PARTNERS IX L P CENTRAL INDEX KEY: 0001095761 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34460 FILM NUMBER: 19819745 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK IX AFFILIATES FUND LP CENTRAL INDEX KEY: 0001112201 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34460 FILM NUMBER: 19819746 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 203-226-8346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OAK IX AFFILIATES FUND A LP CENTRAL INDEX KEY: 0001112125 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34460 FILM NUMBER: 19819747 BUSINESS ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 203-226-8346 MAIL ADDRESS: STREET 1: 901 MAIN AVENUE STREET 2: SUITE 600 CITY: NORWALK STATE: CT ZIP: 06851 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KRATOS DEFENSE & SECURITY SOLUTIONS, INC. CENTRAL INDEX KEY: 0001069258 STANDARD INDUSTRIAL CLASSIFICATION: GUIDED MISSILES & SPACE VEHICLES & PARTS [3760] IRS NUMBER: 133818604 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 BUSINESS ADDRESS: STREET 1: 10680 TREENA STREET STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92131 BUSINESS PHONE: 858-812-7300 MAIL ADDRESS: STREET 1: 10680 TREENA STREET STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92131 FORMER COMPANY: FORMER CONFORMED NAME: WIRELESS FACILITIES INC DATE OF NAME CHANGE: 19990817 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2019-05-10 0001069258 KRATOS DEFENSE & SECURITY SOLUTIONS, INC. KTOS 0001183755 CARANO BANDEL L C/O OAK INVESTMENT PARTNERS 901 MAIN AVENUE, SUITE 600 NORWALK CT 06851 1 0 1 0 0001466232 Oak Investment Partners XIII, Limited Partnership 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001131676 OAK INVESTMENT PARTNERS X LTD PARTNERSHIP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001143824 OAK X AFFILIATES FUND LP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001095761 OAK INVESTMENT PARTNERS IX L P 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001112201 OAK IX AFFILIATES FUND LP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 0001112125 OAK IX AFFILIATES FUND A LP 901 MAIN AVENUE SUITE 600 NORWALK CT 06851 0 0 1 0 Director Option (Right to Buy) 17.81 2019-05-10 4 A 0 787 A 2019-05-10 2029-05-10 Common Stock 787 82231 D Represents options received in lieu of cash fees from Mr. Carano's service on the Issuer's Board of Directors as approved by the Board of Directors. The grant is effective May 10, 2019. The Director Options became fully exerciseable on the date of the grant. Includes Director Option to purchase 101 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners X, Limited Partnership ("Oak X"); Director Option to purchase 2 shares of Common Stock, which is held by Mr. Carano on behalf of Oak X Affiliates Fund, Limited Partnership ("Oak X Affiliates"); and Director Option to purchase 684 shares of Common Stock, which is held by Mr. Carano on behalf of Oak Investment Partners XIII, Limited Partnership ("Oak XIII"). Mr. Carano is a Managing Member of Oak Associates X, L.L.C., the General Partner of Oak X, a Managing Member of Oak X Affiliates, L.L.C., the General Partner of Oak X Affiliates and a Managing Member of Oak Associates XIII, L.L.C., the General Partner of Oak XIII. Not applicable. Bandel L. Carano is a Director of the Issuer. This Form 4 is being filed by Bandel L. Carano, Oak XIII, Oak X, Oak X Affiliates, Oak Investment Partners IX, Limited Partnership, Oak IX Affiliates Fund, Limited Partnership, and Oak IX Affiliates Fund-A, Limited Partnership, collectively the "Reporting Persons". Each Reporting Person disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such Reporting Person's pecuniary interest in such securities) other than any securities reported herein as being directly owned by such Reporting Person, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of any such securities for purposes of Section 16 or for any other purpose. Bandel L. Carano 2019-05-13 /s/ Bandel L. Carano, Managing Member of Oak Associates XIII, LLC, general partner of Oak Investment Partners XIII, Limited Partnership 2019-05-13 /s/ Bandel L. Carano, Managing Member of Oak Associates X, LLC, general partner of Oak Investment Partners X, Limited Partnership 2019-05-13 /s/ Bandel L. Carano, Managing Member of Oak X Affiliates, LLC, general partner of Oak X Affiliates Fund, Limited Partnership 2019-05-13 /s/ Bandel L. Carano, Managing Member of Oak Associates IX, LLC, general partner of Oak Investment Partners IX, Limited Partnership 2019-05-13 /s/ Bandel L. Carano, Managing Member of Oak IX Affiliates, LLC, general partner of Oak IX Affiliates Fund, Limited Partnership 2019-05-13 /s/ Bandel L. Carano, Managing Member of Oak IX Affiliates, LLC, general partner of Oak IX Affiliates Fund-A, Limited Partnership 2019-05-13