0001209191-17-050920.txt : 20170831 0001209191-17-050920.hdr.sgml : 20170831 20170831171415 ACCESSION NUMBER: 0001209191-17-050920 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170829 FILED AS OF DATE: 20170831 DATE AS OF CHANGE: 20170831 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PHILLIPS STUART G CENTRAL INDEX KEY: 0001225479 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 171063949 MAIL ADDRESS: STREET 1: 2735 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bay Partners XI L P CENTRAL INDEX KEY: 0001327874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 171063951 BUSINESS ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 408-725-2444 MAIL ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAY PARTNERS XI PARALLEL FUND L P CENTRAL INDEX KEY: 0001347244 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 171063950 BUSINESS ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 408-725-2444 MAIL ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bay Management Co XI LLC CENTRAL INDEX KEY: 0001513783 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 171063952 BUSINESS ADDRESS: STREET 1: 2180 SAND HILL ROAD STREET 2: SUITE 345 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-1500 MAIL ADDRESS: STREET 1: 2180 SAND HILL ROAD STREET 2: SUITE 345 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MULESOFT, INC CENTRAL INDEX KEY: 0001374684 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 205158650 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 77 GEARY ST. STREET 2: SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 415-229-2009 MAIL ADDRESS: STREET 1: 77 GEARY ST. STREET 2: SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 FORMER COMPANY: FORMER CONFORMED NAME: MULESOFT INC DATE OF NAME CHANGE: 20100401 FORMER COMPANY: FORMER CONFORMED NAME: MULESOURCE INC DATE OF NAME CHANGE: 20060906 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-08-29 0 0001374684 MULESOFT, INC MULE 0001513783 Bay Management Co XI LLC 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 0001327874 Bay Partners XI L P 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 0001347244 BAY PARTNERS XI PARALLEL FUND L P 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 0001225479 PHILLIPS STUART G 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 Class A Common Stock 2017-08-29 4 C 0 7016747 0.00 A 7016747 I See footnote Class A Common Stock 2017-08-29 4 C 0 41660 0.00 A 41660 I See footnote Class B Common Stock 2017-08-29 4 C 0 7016747 0.00 D Class A Common Stock 7016747 0 I See footnote Class B Common Stock 2017-08-29 4 C 0 41660 0.00 D Class A Common Stock 41660 0 I See footnote Shares are held by Bay Partners XI, L.P. ("BP XI"). Bay Management Company XI, LLC ("BMC XI"), the general partner of BP XI, has sole voting and dispositive power with respect to the shares held by BP XI. Stuart G. Phillips, the managing member of BMC XI, has sole voting and dispositive power with respect to the shares held by BP XI. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities). Shares are held by Bay Partners XI Parallel Fund, L.P. ("Parallel XI"). BMC XI, the general partner of Parallel XI, has sole voting and dispositive power with respect to the shares held by Parallel XI. Stuart G. Phillips, the managing member of BMC XI, has sole voting and dispositive power with respect to the shares held by Parallel XI. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities). Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. Bay Management Company XI, LLC /s/ Stuart G. Phillips, Managing Member 2017-08-30 Bay Partners XI, L.P., by Bay Management Company XI, LLC, its general partner /s/ Stuart G. Phillips, Managing Member 2017-08-30 Bay Partners XI Parallel Fund, L.P., by Bay Management Company XI, LLC, its general partner /s/ Stuart G. Phillips, Managing Member 2017-08-30 /s/ Stuart G. Phillips 2017-08-30