0001214659-14-000383.txt : 20140116 0001214659-14-000383.hdr.sgml : 20140116 20140116123855 ACCESSION NUMBER: 0001214659-14-000383 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140116 DATE AS OF CHANGE: 20140116 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FUSION-IO, INC. CENTRAL INDEX KEY: 0001383729 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 204232255 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86550 FILM NUMBER: 14531456 BUSINESS ADDRESS: STREET 1: 2855 E. COTTONWOOD PARKWAY, SUITE 100 CITY: SALT LAKE CITY STATE: UT ZIP: 84121 BUSINESS PHONE: 801-424-5500 MAIL ADDRESS: STREET 1: 2855 E. COTTONWOOD PARKWAY, SUITE 100 CITY: SALT LAKE CITY STATE: UT ZIP: 84121 FORMER COMPANY: FORMER CONFORMED NAME: FUSION MULTISYSTEMS INC DATE OF NAME CHANGE: 20061214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Flynn David A. CENTRAL INDEX KEY: 0001521969 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: C/O FUSION-IO, INC. STREET 2: 2855 E. COTTONWOOD PARKWAY, SUITE 100 CITY: SALT LAKE CITY STATE: UT ZIP: 84121 SC 13G/A 1 j115142sc13ga2.htm AMENDMENT NO. 2 j115142sc13ga2.htm


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 

 
SCHEDULE 13G/A
 
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
 
                        
 
Fusion-io, Inc.
(Name of Issuer)
 

 
Common Stock
(Title of Class of Securities)
 
 
36112J 107
(CUSIP Number)
 
 
December 31, 2013
(Date of Event which Requires Filing of this Statement)
 

 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
¨ Rule 13d-1(b)
 
¨ Rule 13d-1(c)
 
x Rule 13d-1(d)
 
*
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 


 
 

 
 
CUSIP No. 36112J 107
   
 
1. 
 
Names of Reporting Persons.
 
David A. Flynn
2.
 
Check the Appropriate Box if a Member of a Group (See Instructions)
(a)  ¨        (b)  x
 
3.
 
SEC Use Only
 
4.
 
Citizenship or Place of Organization:
 
United States of America
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With:
5.
      Sole Voting Power 13,021 (See item 4(a) below)  
6.
      Shared Voting Power 4,466,145 (See item 4(a) below)  
7.
      Sole Dispositive Power 13,021 (See item 4(a) below)  
8.
      Shared Dispositive Power 4,466,145 (See item 4(a) below)  
9.
 
Aggregate Amount Beneficially Owned by Each Reporting Person 4,479,166 (See item 4(a) below)
 
10. 
 
Check if the Aggregate Amount in Row (9) Excludes Certain Shares o
 
11. 
 
Percent of Class Represented by Amount in Row (9) 4.2
 
12. 
 
Type of Reporting Person
 
IN
 

Item 1.
 
 
 
(a)
Name of Issuer: Fusion-io, Inc.
 
 
(b)
Address of Issuer’s Principal Executive Offices: 2855 E. Cottonwood Parkway, Suite 100, Salt Lake City, Utah 84121
 
Item 2.
 
 
 
(a)
Name of Person Filing: David A. Flynn
 
 
(b)
Address of Principal Business Office or, if none, Residence: 11222 Eagle View Drive, Sandy, Utah 84092
 
 
(c)
Citizenship: United States
 
 
(d)
Title of Class of Securities: Common Stock
 
 
(e)
CUSIP Number: 36112J 107
 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: Not applicable
 
             
   
(a)
 
¨
    
Broker or dealer registered under Section 15 of the Act;
       
   
(b)
 
¨
    
Bank as defined in Section 3(a)(6) of the Act;
       
   
(c)
 
¨
    
Insurance company as defined in Section 3(a)(19) of the Act;
 
 
 

 
 
   
(d)
 
¨
    
Investment company registered under Section 8 of the Investment Company Act of 1940;
       
   
(e)
 
¨
    
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
       
   
(f)
 
¨
    
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
       
   
(g)
 
¨
    
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
       
   
(h)
 
¨
    
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
       
   
(i)
 
¨
    
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
       
   
(j)
 
¨
    
A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
       
   
(k)
 
¨
    
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:             
 
Item 4.
Ownership
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 
 
(a)
Amount beneficially owned: 4,479,166, which includes (i) 3,314,227 shares held of record by Sandusky Investments, LLC, which is controlled by Mr. Flynn and co-owned by Mr. Flynn and other affiliated persons, (ii) 131,250 shares held of record by DAF Ventures, Ltd., which is controlled by and co-owned by Mr. Flynn, (iii) options to purchase 13,021 shares of common stock that are exercisable within 60 days of December 31, 2013, (iv) options to purchase 813,021 shares of common stock that are exercisable within 60 days of December 31, 2013 and held of record by DAF Ventures, Ltd., which is controlled by and co-owned by Mr. Flynn, and (v) 207,647 shares held of record by The Flynn Family Foundation, of which Mr. Flynn is a trustee.  Mr. Flynn disclaims beneficial ownership of the shares held by The Flynn Family Foundation.
 
 
(b)
Percent of class: 4.2% (percentage ownership is calculated based on 105,480,908 shares of common stock outstanding as of November 1, 2013 and assumes that the 826,042 shares of common stock underlying the stock options are deemed outstanding pursuant to SEC Rule 13-3(d)(1)(i)).

 
(c)
Number of shares as to which the person has:
 
 
(i)
Sole power to vote or to direct the vote: 13,021 shares (See item 4(a) above).
 
 
(ii)
Shared power to vote or to direct the vote: 4,466,145 shares (See item 4(a) above).
 
 
(iii)
Sole power to dispose or to direct the disposition of: 13,021 shares (See item 4(a) above).
 
 
(iv)
Shared power to dispose or to direct the disposition of: 4,466,145 shares (See item 4(a) above).
 
Item 5.
Ownership of Five Percent or Less of a Class
 
Ownership of 5 Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following x.
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person
 
Not applicable
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
 
Not applicable
 
 
 

 
 
Item 8.
Identification and Classification of Members of the Group
 
Not applicable
 
Item 9.
Notice of Dissolution of Group
 
Not applicable
 
Item 10.
Certifications
 
Not applicable
 

SIGNATURE
 
After reasonable inquiry and to the best of each of their respective knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
 
 
             
Date:  January 16, 2014
         
 /s/ David A. Flynn
           
David A. Flynn