SEC Form 5
FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL 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
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X
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
Form 3 Holdings Reported.
X
Form 4 Transactions Reported.
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. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2017
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Amount (A) or (D) Price
Class A Common Stock 07/07/2017 C4 3,786,505 A (1) 3,786,505 I See Footnote(2)
Class A Common Stock 07/07/2017 C4 282,087 A (1) 282,087 I See Footnote(3)
Class A Common Stock 07/07/2017 C4 1,057,827 A (1) 1,057,827 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)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class B Common Stock (1) 07/07/2017 4C 3,786,505 (1) (1) Class A Common Stock 3,786,505 $0 0 I See Footnote(2)
Class B Common Stock (1) 07/07/2017 4C 282,087 (1) (1) Class A Common Stock 282,087 $0 0 I See Footnote(3)
Class B Common Stock (1) 07/07/2017 4C 1,057,827 (1) (1) Class A Common Stock 1,057,827 $0 0 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. The Class B Common Stock converted into the Class A Common Stock on a one-for-one-basis.
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. Each other Reporting Person may be deemed to beneficially own the reported securities. The Reporting Persons, other than Greenspring Secondaries Fund II, L.P., disclaim beneficial ownership in the reported securities except to the extent of its pecuniary interest.
Remarks:
/s/ Eric Thompson, Greenspring Associates, Inc., By: Eric Thompson, Chief Operating Officer 02/14/2018
/s/ Eric Thompson, Charles Ashton Newhall, By: Eric Thompson, as attorney-in-fact 02/14/2018
/s/ Eric Thompson, James Lim, By: Eric Thompson, as attorney-in-fact 02/14/2018
** 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).
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