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 |
|
|||||||||||||||
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)
|
2. Issuer Name and Ticker or Trading Symbol
ARUBA NETWORKS, INC. [ ARUN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 03/30/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
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 | ||||||
Common Stock | 03/30/2007 | C | 6,480,000 | A | (1) | 6,480,000 | I | By Partnership(2) | ||
Common Stock | 03/30/2007 | C | 4,065,190 | A | (1) | 10,545,190 | I | By Partnership(3) | ||
Common Stock | 03/30/2007 | C | 2,296,287 | A | (1) | 12,841,477 | I | By Partnership(4) | ||
Common Stock | 03/30/2007 | C | 818,104 | A | (1) | 13,659,581 | I | By Partnership(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | ||||||||
Series A Convertible Preferred | (1) | 03/30/2007 | C | 6,480,000 | (1) | (1) | Common Stock | 6,480,000 | $0 | 0 | I | By Partnership(2) | |||
Series B Convertible Preferred | (1) | 03/30/2007 | C | 4,065,190 | (1) | (1) | Common Stock | 4,065,190 | $0 | 0 | I | By Partnership(3) | |||
Series C Convertible Preferred | (1) | 03/30/2007 | C | 2,296,287 | (1) | (1) | Common Stock | 2,296,287 | $0 | 0 | I | By Partnership(4) | |||
Series D Convertible Preferred | (1) | 03/30/2007 | C | 818,104 | (1) | (1) | Common Stock | 818,104 | $0 | 0 | I | By Partnership(5) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
|
Explanation of Responses: |
1. Each share of Issuer's Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock upon the closing of Issuer's initial public offering and had no expiration date. |
2. Securities held of record by Sequoia Capital X (5,106,240), Sequoia Capital X Principals Fund (616,896), and Sequoia Technology Partners X (756,864). Douglas Leone (who is a Director of the Issuer and files separate Section 16(a) reports), Michael L. Goguen, Mark Kvamme, Michael J. Moritz and Mark A. Stevens are managing members of SC X Management, L.L.C., the general partner of Sequoia Capital X and Sequoia Technology Partners X, and the managing member of Sequoia Capital X Principals Fund. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein. |
3. Securities held of record by Sequoia Capital X (3,296,463), Sequoia Capital X Principals Fund (293,913), and Sequoia Technology Partners X (474,814). Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein. |
4. Secutities held of record by Sequoia Capital X (1,862,059), Sequoia Capital X Principals Fund (166,022), and Sequoia Technology Partners X (268,206). Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein. |
5. Securities held of record by Sequoia Capital Growth Fund III (418,240), Sequoia Capital Growth III Principals Fund (20,690), Sequoia Capital Growth Partners III (4,604), Sequoia Capital X (303,740), Sequoia Capital X Principals Fund (27,081), and Sequoia Technology Partners X (43,749). Messrs. Leone, Goguen, Kvamme, Moritz, Sameer Gandhi, James J. Goetz and Scott Carter are managing members of SCGF III Management, L.L.C., the general partner of Sequoia Capital Growth Fund III and Sequoia Capital Growth Partners III, and the managing member of Sequoia Capital Growth III Principals Fund. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of his or its pecuniary interest therein. |
By: Jeannette Bjoernsen as Attorney-in-Fact For James J. Goetz | 04/03/2007 | |
By: Jeannette Bjoernsen as Attorney-in-Fact For: Michael L. Goguen | 04/03/2007 | |
By: Jeannette Bjorensen as Attorney-in-Fact For: Mark Kvamme | 04/03/2007 | |
By: Jeannette Bjoernsen as Attorney-in-Fact For: Michael J. Moritz | 04/03/2007 | |
By: Jeannette Bjoernsen as Attorney-in-Fact For: Mark A. Stevens | 04/03/2007 | |
** 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. |