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
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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*
KERTZMAN MITCHELL

(Last) (First) (Middle)
PIER 33 SOUTH
THE EMBARCADERO, SUITE 300

(Street)
SAN FRANCISCO CA 94111

(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)
11/02/2017
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 11/02/2017 J(1) 4,323 A $0.00 70,195 D(2)
Class A Common Stock 11/03/2017 S(3) 616 D $23.49 69,579 D(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
KERTZMAN MITCHELL

(Last) (First) (Middle)
PIER 33 SOUTH
THE EMBARCADERO, SUITE 300

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Hummer John

(Last) (First) (Middle)
PIER 33 SOUTH
THE EMBARCADERO, SUITE 300

(Street)
SAN FRANCISCO CA 94111

(City) (State) (Zip)
Explanation of Responses:
1. Represents a change in the form of ownership as a result of a pro-rata, in-kind distribution by HWVP VI to its limited partners, including 3,061 shares to John Hummer, and to HW Equity VI, and the subsequent pro-rata, in-kind distribution by HW Equity VI to its members and assignees, including 646 shares to Mr. Hummer and 616 shares to Mitchell Kertzman.
2. Consists of 69,579 shares held directly by Mr. Hummer and 616 shares held directly by Mr. Kertzman.
3. Represents a sale of 616 shares by Mr. Kertzman.
4. Consists of 69,579 shares held by Mr. Hummer.
Remarks:
This Form 4 is one of three Form 4s filed on the date hereof in respect of these shares. The Reporting Persons on the other Form 4s are Ann Winblad, Hummer Winblad Venture Partners VI, L.P. and Hummer Winblad Equity Partners VI, L.L.C.
Mitchell Kertzman By: /s/ Ingrid Chiavacci, attorney-in-fact 11/06/2017
John Hummer By: /s/ Ingrid Chiavacci, attorney-in-fact 11/06/2017
** 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).
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