SEC Form 4
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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
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*
Greenspring Associates, Inc.

(Last) (First) (Middle)
100 PAINTERS MILL ROAD, SUITE 700

(Street)
OWINGS MILLS MD 21117

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
MULESOFT, INC [ MULE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/22/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
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 03/22/2017 J(1) 3,786,505 D (1) 0 I See Footnote(2)
Common Stock 03/22/2017 J(1) 282,087 D (1) 0 I See Footnote(3)
Common Stock 03/22/2017 J(1) 1,057,827 D (1) 0 I See Footnote(4)
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
Class B Common Stock (5) 03/22/2017 J(1) 3,786,505 (5) (5) Class A Common Stock 3,786,505 (1) 3,786,505 I See Footnote(2)
Class B Common Stock (5) 03/22/2017 J(1) 282,087 (5) (5) Class A Common Stock 282,087 (1) 282,087 I See Footnote(3)
Class B Common Stock (5) 03/22/2017 J(1) 1,057,827 (5) (5) Class A Common Stock 1,057,827 (1) 1,057,827 I See Footnote(4)
1. Name and Address of Reporting Person*
Greenspring Associates, Inc.

(Last) (First) (Middle)
100 PAINTERS MILL ROAD, SUITE 700

(Street)
OWINGS MILLS MD 21117

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Newhall Charles Ashton

(Last) (First) (Middle)
100 PAINTERS MILL ROAD, SUITE 700

(Street)
OWINGS MILLS MD 21117

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Lim James

(Last) (First) (Middle)
100 PAINTERS MILL ROAD, SUITE 700

(Street)
OWINGS MILLS MD 21117

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in a transaction meeting the requirements of Rule 16b-7.
2. The securities are directly held by AU Special Investments, L.P. The Reporting Persons may be deemed to beneficially own the reported securities. The Reporting Persons disclaim beneficial ownership in the reported securities except to the extent of its or his pecuniary interest.
3. The securities are directly held by Greenspring Secondaries Fund I, L.P. The Reporting Persons may be deemed to beneficially own the reported securities. The Reporting Persons disclaim beneficial ownership in the reported securities except to the extent of its or his pecuniary interest.
4. The securities are directly held by Greenspring Secondaries Fund II, L.P. The Reporting Persons may be deemed to beneficially own the reported securities. The Reporting Persons disclaim beneficial ownership in the reported securities except to the extent of its or his pecuniary interest.
5. 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.
Remarks:
/s/ Eric Thompson, Greenspring Associates, Inc., By: Eric Thompson, Chief Operating Officer 03/23/2017
/s/ Charles Ashton Newhall 03/23/2017
/s/ James C. Lim 03/23/2017
** 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.