0001181431-14-029996.txt : 20140822 0001181431-14-029996.hdr.sgml : 20140822 20140822173631 ACCESSION NUMBER: 0001181431-14-029996 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140820 FILED AS OF DATE: 20140822 DATE AS OF CHANGE: 20140822 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tableau Software Inc CENTRAL INDEX KEY: 0001303652 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 470945740 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 837 N 34TH ST STREET 2: SUITE 200 CITY: SEATTLE STATE: WA ZIP: 98103 BUSINESS PHONE: 206-633-3400 MAIL ADDRESS: STREET 1: 837 N 34TH ST STREET 2: SUITE 200 CITY: SEATTLE STATE: WA ZIP: 98103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BARRETT M JAMES CENTRAL INDEX KEY: 0001219855 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35925 FILM NUMBER: 141061238 MAIL ADDRESS: STREET 1: 1119 ST PAUL STREET CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 rrd414970.xml X0306 4 2014-08-20 0 0001303652 Tableau Software Inc DATA 0001219855 BARRETT M JAMES 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 Class A Common Stock 2014-08-20 4 C 0 1607096 A 1607096 I See Note 3 Class A Common Stock 2014-08-20 4 J 0 1607096 0 D 0 I See Note 3 Class A Common Stock 2014-08-20 4 J 0 493378 0 A 493378 I See Note 6 Class A Common Stock 2014-08-20 4 J 0 493378 0 D 0 I See Note 6 Class A Common Stock 2014-08-20 4 J 0 17424 0 A 17424 D Class A Common Stock 2014-08-20 4 J 0 8712 0 A 8712 I See Note 10 Class A Common Stock 2014-08-20 4 J 0 3673 0 A 3673 I See Note 12 Class A Common Stock 2014-08-20 4 J 0 5039 0 A 5039 I See Note 14 Class A Common Stock 2014-08-20 4 J 0 89411 0 A 89411 I See Note 15 Class A Common Stock 2014-08-21 4 S 0 20652 59.19 D 68759 I See Note 15 Class A Common Stock 2014-08-21 4 S 0 9348 59.79 D 59411 I See Note 15 Class A Common Stock 2014-08-21 4 S 0 10055 59.7333 D 7369 D Class A Common Stock 2014-08-21 4 S 0 400 60.5563 D 6969 D Class A Common Stock 2014-08-21 4 S 0 3330 60.0171 D 343 I See Note 12 Class A Common Stock 2014-08-21 4 S 0 343 59.7017 D 0 I See Note 12 Class A Common Stock 2014-08-21 4 S 0 4939 59.488 D 100 I See Note 14 Class A Common Stock 2014-08-21 4 S 0 100 60.65 D 0 I See Note 14 Class A Common Stock 2014-08-21 4 S 0 8712 59.8861 D 0 I See Note 10 Class B Common Stock 2014-08-20 4 C 0 1607096 D Class A Common Stock 1607096 3214192 I See Note 3 Each share of Class A Common Stock was issued upon conversion of one share of Class B Common Stock. Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's Amended and Restated Certificate of Incorporation, including, without limitation, certain transfers for tax and estate planning purposes. The Reporting Person is a manager of NEA 11 GP, LLC, which is the sole general partner of NEA Partners 11, Limited Partnership ("NEA Partners 11"). NEA Partners 11 is the sole general partner of New Enterprise Associates 11, Limited Partnership ("NEA 11"), the direct beneficial owner of the Shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the such portion of the Shares held by NEA 11 in which the Reporting Person has no pecuniary interest. NEA 11 made a pro rata distribution for no consideration of an aggregate of 1,607,096 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on August 20, 2014. NEA Partners 11 received 493,378 shares of Class A Common Stock of the Issuer in the distribution by NEA 11 on August 20, 2014. The Reporting Person is a manager of NEA 11 GP, LLC, the sole general partner of NEA Partners 11, the direct beneficial owner of the Shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the shares of Class A Common Stock of the Issuer held by NEA Partners 11 in which the Reporting Person has no pecuniary interest. NEA Partners 11 made a pro rata distribution for no consideration of an aggregate of 493,378 shares of Class A Common Stock of the Issuer to its limited partners on August 20, 2014. The Reporting Person received 17,424 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 11 on August 20, 2014. The Barrett 2006 Family Trust received 8,712 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 11 on August 20, 2014. The shares are directly held by the Barrett 2006 Family Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of the such portion of the shares of Class A Common Stock of the Issuer held by the Barrett 2006 Family Trust in which the Reporting Person has no pecuniary interest. The April P. Barrett Grandchildren's Trust (the "Grandchildren's Trust") received 3,673 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 11 on August 20, 2014. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the shares of Class A Common Stock of the Issuer held by the Grandchildren's Trust in which the Reporting Person has no pecuniary interest. The Radhika Barrett Trust (the "Radhika Barrett Trust") received 5,039 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 11 on August 20, 2014. The Reporting Person is the trustee of the Radhika Barrett Trust, which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the shares of Class A Common Stock of the Issuer held by the Radhika Barrett Trust in which the Reporting Person has no pecuniary interest. The Reporting Person is a member of the Board of Directors of New Enterprise Associates LLC ("NEA LLC") which is the direct beneficial owner of the shares of Class A Common Stock of the Issuer. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the 1934 Act, as amended, or otherwise of such portion of the shares of Class A Common Stock of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest. NEA LLC received 89,411 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 11 on August 20, 2014. Not applicable. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.60 to $59.59, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (18) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.60 to $59.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (19) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.41 to $60.33, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (20) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.41 to $60.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (21) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.74 to $60.73, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (22) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.69 to $59.73, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (23) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.26 to $59.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (24) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.62 to $60.31, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (25) to this Form 4. /s/ Sasha Keough, attorney-in-fact 2014-08-22