0001209191-17-048448.txt : 20170810
0001209191-17-048448.hdr.sgml : 20170810
20170810171332
ACCESSION NUMBER: 0001209191-17-048448
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170808
FILED AS OF DATE: 20170810
DATE AS OF CHANGE: 20170810
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BARRIS PETER J
CENTRAL INDEX KEY: 0001005561
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35335
FILM NUMBER: 171022261
MAIL ADDRESS:
STREET 1: 1119 ST PAUL STREET
CITY: BALTIMORE
STATE: MD
ZIP: 21202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Groupon, Inc.
CENTRAL INDEX KEY: 0001490281
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ADVERTISING AGENCIES [7311]
IRS NUMBER: 270903295
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 600 WEST CHICAGO AVENUE, SUITE 400
CITY: CHICAGO
STATE: IL
ZIP: 60654
BUSINESS PHONE: (312) 334-1579
MAIL ADDRESS:
STREET 1: 600 WEST CHICAGO AVENUE, SUITE 400
CITY: CHICAGO
STATE: IL
ZIP: 60654
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-08-08
0
0001490281
Groupon, Inc.
GRPN
0001005561
BARRIS PETER J
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM
MD
21093
1
0
0
0
Common Stock
2017-08-08
4
J
0
10000000
0.00
D
0
I
See Note 2
Common Stock
2017-08-08
4
J
0
3070000
0.00
A
3070000
I
See Note 4
Common Stock
2017-08-08
4
J
0
3070000
0.00
D
0
I
See Note 4
Common Stock
2017-08-08
4
J
0
134620
0.00
A
611225
I
See Note 7
Common Stock
2017-08-08
4
J
0
41283
0.00
A
187444
I
See Note 9
Common Stock
2017-08-08
4
J
0
562719
0.00
A
562719
I
See Note 11
Common Stock
2017-08-09
4
S
0
281360
3.9299
D
281359
I
See Note 11
Common Stock
2017-08-10
4
S
0
281359
3.9813
D
0
I
See Note 11
Common Stock
168887
D
Deferred Stock Units
0.00
Common Stock
96708
96708
D
New Enterprise Associates 12, Limited Partnership ("NEA 12") made a pro rata distribution for no consideration of an aggregate of 10,000,000 shares of Common Stock of the Issuer to its general partner and its limited partners on August 8, 2017.
The Reporting Person is a manager of NEA 12 GP, LLC, which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of NEA 12, the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.
NEA Partners 12 received 3,070,000 shares of Common Stock of the Issuer in the distribution by NEA 12 on August 8, 2017.
The Reporting Person is a manager of NEA 12 GP, the sole general partner of NEA Partners 12. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners 12 in which the Reporting Person has no pecuniary interest.
NEA Partners 12 made a pro rata distribution for no consideration of an aggregate of 3,070,000 shares of Common Stock of the Issuer to its limited partners on August 8, 2017.
PJ Barris, LLC received 134,620 shares of Common Stock of the Issuer in the distribution by NEA Partners 12 on August 8, 2017.
The Reporting Person is a member of PJ Barris, LLC, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by PJ Barris, LLC in which the Reporting Person has no pecuniary interest.
PDB LLC received 41,283 shares of Common Stock of the Issuer in the distribution by NEA Partners 12 on August 8, 2017.
The Reporting Person is the investment advisor of PDB LLC, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by PDB LLC in which the Reporting Person has no pecuniary interest.
New Enterprise Associates, LLC ("NEA LLC") received 562,719 shares of Common Stock of the Issuer in the distribution by NEA Partners 12 on August 8, 2017.
The Reporting Person is a member of the Board of Directors of NEA LLC, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA LLC in which the Reporting Person has no pecuniary interest.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.88 to $3.97, 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 range set forth in this footnote (12) 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 $3.895 to $4.015, 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 range set forth in this footnote (13) to this Form 4.
The Reporting Person received exempt awards of Deferred Stock Units ("DSUs") under the Issuer's Non-Employee Director Compensation Plan. DSUs represent a right to receive shares of the Issuer's Common Stock (or, in the sole discretion of the Issuer's Board of Directors following a change in control, cash, securities or a combination of cash and securities equal to the fair market value thereof) upon termination of service as a Director of the Issuer. The DSUs are vested.
/s/ Sasha Keough, attorney-in-fact
2017-08-10