0001209191-18-005487.txt : 20180125 0001209191-18-005487.hdr.sgml : 20180125 20180125194621 ACCESSION NUMBER: 0001209191-18-005487 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180123 FILED AS OF DATE: 20180125 DATE AS OF CHANGE: 20180125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Little Gary CENTRAL INDEX KEY: 0001700290 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 18549627 MAIL ADDRESS: STREET 1: 3200 ALPINE ROAD CITY: PORTOLA VALLEY STATE: CA ZIP: 94028 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 2018-01-23 0 0001374684 MULESOFT, INC MULE 0001700290 Little Gary 3200 ALPINE ROAD PORTOLA VALLEY CA 94028 1 0 0 0 Class A Common Stock 2018-01-23 4 C 0 2107038 A 2107038 I See footnote Class A Common Stock 2018-01-23 4 J 0 2107038 0.00 D 0 I See footnote Class A Common Stock 2018-01-23 4 J 0 33076 0.00 A 81570 I See footnote Class A Common Stock 2018-01-24 4 S 0 10555 24.9402 D 71015 I See footnote Class A Common Stock 2018-01-24 4 S 0 5983 25.1589 D 65032 I See footnote Class A Common Stock 2018-01-23 4 J 0 3674 0.00 A 7290 I See footnote Class A Common Stock 2018-01-24 4 S 0 1170 24.9403 D 6120 I See footnote Class A Common Stock 2018-01-24 4 S 0 667 25.1578 D 5453 I See footnote Class A Common Stock 2018-01-23 4 J 0 3674 0.00 A 7290 I See footnote Class A Common Stock 2018-01-24 4 S 0 1170 24.9403 D 6120 I See footnote Class A Common Stock 2018-01-24 4 S 0 667 25.1578 D 5453 I See footnote Class A Common Stock 2018-01-23 4 J 0 3674 0.00 A 7290 I See footnote Class A Common Stock 2018-01-24 4 S 0 1170 24.9403 D 6120 I See footnote Class A Common Stock 2018-01-24 4 S 0 667 25.1578 D 7290 I See footnote Class B Common Stock 2018-01-23 4 C 0 2107038 0.00 D Class A Common Stock 2107038 0 I See footnote 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. The shares are held of record by Morgenthaler Partners VIII, L.P. ("Morgenthaler Partners"). Morgenthaler Management Partners VIII, LLC ("Morgenthaler Management") is the sole general partner of Morgenthaler Partners. As a member of Morgenthaler Management, the Reporting Person shares voting and dispositive power with respect to the shares held of record by Morgenthaler Partners. Morgenthaler Management and the Reporting Person disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein. Represents a pro-rata, in-kind distribution by Morgenthaler Partners without additional consideration, to its partners. Morgenthaler Partners distributed an aggregate of 1,644,667 shares to its limited partners on a pro-rata basis and 462,371 shares to its general partner, Morgenthaler Management. Morgenthaler Management subsequently distributed 462,371 shares on a pro-rata basis for no additional consideration to its members and assignees. Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Morgenthaler Partners to Morgenthaler Management and the subsequent pro-rata in-kind distribution to its members and assignees, including the trusts associated with the Reporting Person and his family members. Shares are held by The Little 1995 Family Trust, for which the Reporting Person is trustee. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on August 15, 2017. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.05 to $25.045, 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 ranges set forth in footnotes (7) and (8) 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 $25.05 to $25.855, inclusive. Shares are held by The Allison F. Little Exempt Trust whose trustee is an immediate family member of the Reporting Person but does not share a household with the Reporting Person and in which the Reporting Person may be deemed to have indirect pecuniary interest. Shares are held by The Christine C. Little Exempt Trust whose trustee is an immediate family member of the Reporting Person but does not share a household with the Reporting Person and in which the Reporting Person may be deemed to have indirect pecuniary interest. Shares are held by The Scott M. Little Exempt Trust whose trustee is an immediate family member of the Reporting Person but does not share a household with the Reporting Person and in which the Reporting Person may be deemed to have indirect pecuniary interest. /s/ Aref Wardak, by power of attorney 2018-01-25