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*
Lightspeed Venture Partners VII, L.P.

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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)
11/27/2017
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
Class A Common Stock 11/27/2017 C(1) 1,700,000 A (1) 1,700,000 I by Lightspeed Venture Partners VII, L.P.(2)(3)
Class A Common Stock 11/27/2017 J(4) 1,700,000 D (4) 0 I By Lightspeed Venture Partners VII, L.P.(2)(3)
Class A Common Stock 11/27/2017 J(4) 395,670 A (4) 395,670 I By Lightspeed General Partner VII, L.P.(2)(5)
Class A Common Stock 11/27/2017 J(6) 395,670 D (6) 0 I By Lightspeed General Partner VII, L.P.(2)(5)
Class A Common Stock 11/27/2017 J(6) 57,839 A (6) 57,839 I By Barry Eggers Revocable Trust dtd 6/4/2008(7)
Class A Common Stock 11/27/2017 J(6) 57,839 A (6) 57,839 I By Peter Y. Nieh
Class A Common Stock 11/27/2017 J(6) 57,839 A (6) 57,839 I By the Schaepe-Chiu Living Trust dated 11/5/97(8)
Class A Common Stock 11/27/2017 C(1) 400,000 A (1) 400,000 I By Lightspeed Venture Partners Select, L.P.(9)(10)
Class A Common Stock 11/27/2017 J(11) 400,000 D (11) 0 I By Lightspeed Venture Partners Select, L.P.(9)(10)
Class A Common Stock 11/27/2017 J(11) 6,033 A (11) 6,033 I By Lightspeed General Partner Select, L.P.(9)(12)
Class A Common Stock 11/27/2017 J(13) 6,033 D (13) 0 I By Lightspeed General Partner Select, L.P.(9)(12)
Class A Common Stock 11/27/2017 J(13) 945 A (13) 945 I By Eggers Investments LP - Fund 2(14)
Class A Common Stock 11/27/2017 J(13) 945 A (13) 945 I By Nieh Investments LP - Fund 3(15)
Class A Common Stock 11/27/2017 J(13) 378 A (13) 378 I By The Schaepe-Chiu Living Trust dated 11/5/97(8)
Class A Common Stock 11/27/2017 J(13) 567 A (13) 567 I By Schaepe-Chiu Investments I LP - Fund 2(16)
Class A Common Stock 11/27/2017 J(13) 945 A (13) 945 I By Jeremy Liew
Class A Common Stock 11/27/2017 J(13) 945 A (13) 945 I By John Vrionis
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 (1) 11/27/2017 C(1) 1,700,000 (1) (1) Class A Common Stock 1,700,000 (1) 14,047,715 I By Lightspeed Venture partners VII, L.P.(2)(3)
Class B Common Stock (1) 11/27/2017 C(1) 400,000 (1) (1) Class A Common Stock 400,000 (1) 3,171,808 I By Lightspeed Venture Partners Select, L.P.(9)(10)
1. Name and Address of Reporting Person*
Lightspeed Venture Partners VII, L.P.

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Lightspeed General Partner VII, L.P.

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Lightspeed Ultimate General Partner VII, Ltd.

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
SCHAEPE CHRISTOPHER J

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Eggers Barry

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Nieh Peter

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Vrionis John

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Liew Jeremy

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Lightspeed Venture Partners Select, L.P.

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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*
Lightspeed General Partner Select, L.P.

(Last) (First) (Middle)
2200 SAND HILL ROAD

(Street)
MENLO PARK CA 94025

(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. Represents conversion of shares of the Issuer's Class B Common Stock into shares of the Issuer's Class A Common Stock on a 1-for-1 basis. The convertibility of the Class B Common Stock has no expiration date.
2. Lightspeed Ultimate General Partner VII, Ltd. is the sole general partner of Lightspeed General Partner VII, L.P. ("LGP VII"), which is the sole general partner of Lightspeed Venture Partners VII, L.P. ("Lightspeed VII"). The individual directors of Lightspeed Ultimate General Partner VII, Ltd. are Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh. Messrs. Schaepe, Eggers, Mhatre, and Nieh disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.
3. The shares are held of record by Lightspeed VII.
4. Represents in-kind distribution by Lightspeed VII without consideration to its partners (including LGP VII, the general partner of Lightspeed VII).
5. The shares are held of record by LGP VII.
6. Represents in-kind distribution by LGP VII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
7. The shares are held of record by Barry Eggers Revocable Trust dtd 6/4/2008, for which Barry Eggers serves as trustee.
8. The shares are held of record by The Schaepe-Chiu Living Trust Dated November 5, 1997, for which Christopher J. Schaepe serves as co-trustee.
9. Lightspeed Ultimate General Partner Select, Ltd. is the sole general partner of Lightspeed General Partner Select, L.P. ("LGP Select"), which is the sole general partner of Lightspeed Venture Partners Select, L.P. ("Lightspeed Select"). The individual directors of Lightspeed Ultimate General Partner Select, Ltd. are Barry Eggers, Jeremy Liew, Ravi Mhatre, Peter Nieh, Christopher J. Schaepe and John Vrionis. Messrs. Eggers, Liew, Mhatre, Nieh, Schaepe and Vrionis disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.
10. The shares are held of record by Lightspeed Select.
11. Represents in-kind distribution by Lightspeed Select without consideration to its partners (including LGP Select, the general partner of Lightspeed Select).
12. The shares are held of record by LGP Select.
13. Represents in-kind distribution by LGP Select without consideration to its partners (including Messrs. Schaepe, Eggers, Liew, Mhatre, Nieh and Vrionis).
14. The shares are held of record by Eggers Investments LP-Fund 2. Barry Eggers serves as trustee of the general partner of such entity.
15. The shares are held of record by Nieh Family Investments LP-Fund 3. Peter Nieh serves as co-trustee of the general partner of such entity.
16. The shares are held of record by Schaepe-Chiu Investments I LP-Fund 2. Christopher J. Schaepe serves as co-trustee of the general partner of such entity.
Remarks:
Filing 1 of 2 Mr. Mhatre is a director of the Issuer and files a separate report on Form 4 with respect to his beneficial ownership of Issuer securities held by the Lightspeed entities.
Lightspeed Venture Partners VII, L.P. /s/ Ravi Mhatre 11/29/2017
Lightspeed General Partner VII, L.P. /s/ Ravi Mhatre 11/29/2017
Lightspeed Ultimate General Partner VII, Ltd /s/ Ravi Mhatre 11/29/2017
/s/ Christopher Schaepe 11/29/2017
/s/ Barry Eggers 11/29/2017
/s/ Peter Nieh 11/29/2017
/s/ John Vrionis 11/29/2017
/s/ Jeremy Liew 11/29/2017
Lightspeed Venture Partners Select, L.P. /s/ Ravi Mhatre 11/29/2017
Lightspeed General Partner Select, L.P. /s/ Ravi Mhatre 11/29/2017
** 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.