FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MULESOFT, INC [ MULE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/27/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 11/27/2017 | J(1) | 1,753,180 | D | $0.00 | 11,579,757 | I | See footnote(2)(3) | ||
Class A Common Stock | 11/27/2017 | J(4) | 65,872 | A | $0.00 | 224,580 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Represents a pro-rata, in-kind distribution by Hummer Winblad Venture Partners V, L.P. ("HWVP V") without additional consideration, to its partners. HWVP V distributed an aggregate of 1,301,743 shares to its limited partners on a pro rata basis and 451,437 shares to its general partner, Hummer Winblad Equity Partners V, L.L.C. ("HW Equity V"). HW Equity V subsequently distributed 451,437 shares on a pro rata basis for no additional consideration to its members and assignees. |
2. Consists of 11,570,987 shares held of record by HWVP V for itself and 8,770 shares held of record by HWVP V as nominee for Hummer Winblad Venture Partners V-A, L.P. |
3. HW Equity V is the general partner of HWVP V. The Report Person is a managing member of HW Equity V and shares voting and dispositive power with respect to the shares held of record by HWVP V. HW Equity V and the Reporting Person disclaim beneficial ownership of such shares except the extent of their pecuniary interests therein. |
4. Represents a change in the form of ownership as a result of a pro-rata, in-kind distribution by HWVP V to HW Equity V and the subsequent pro-rata, in-kind distribution by HW Equity V to its members and assignees, including the Reporting Person. |
Remarks: |
This Form 4 is one of two Form 4s filed on the date hereof in respect of these shares. The Reporting Person on the other Form 4 is Hummer Winblad Venture Partners V, L.P. |
Ann L Winblad, By: Ingrid Chiavacci, attorney-in-fact | 11/29/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |