|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: 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 | ||||||||
Series C Preferred Stock | (2) | 11/19/2013 | C | 374,805 (3) | (2) | (2) | Common Stock | 223,684 (2) | $ 0 | 0 | D (1) | ||||
Series D Preferred Stock | (2) | 11/19/2013 | C | 2,061,616 | (2) | (2) | Common Stock | 1,230,374 (2) | $ 0 | 0 | D (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HLM VENTURE PARTNERS II, L.P. 222 BERKELEY STREET BOSTON, MA 02116 |
Previously a 10% Owner | |||
HLM Venture Associates II, LLC 222 BERKELEY STREET BOSTON, MA 02116 |
X | |||
CAHILL EDWARD L C/O HLM VENTURE PARTNERS, 222 BERKELEY STREET BOSTON, MA 02116 |
X | X | ||
GRUA PETER J 222 BERKELEY STREET BOSTON, MA 02116 |
X | |||
RAY RUSSELL T 222 BERKELEY STREET BOSTON, MA 02116 |
X |
/s/ David B. Berger, Attorney-in-Fact for HLM Venture Partners, II, L.P. | 11/21/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for HLM Venture Associates II, L.L.C. | 11/21/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for Edward L. Cahill | 11/21/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for Peter J. Grua | 11/21/2013 | |
**Signature of Reporting Person | Date | |
/s/ David B. Berger, Attorney-in-Fact for Russell T. Ray | 11/21/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The reported securities are owned by HLM Venture Partners II, L.P. HLM Venture Associates II, L.L.C. (the "General Partner"), and Edward L. Cahill, Peter J. Grua and Russell T. Ray, the managing members of the General Partner, may be deemed to share voting and dispositive power over the reported securities but each disclaims beneficial ownership in the securities held by HLM Venture Partners II, L.P., except to the extent of their pecuniary interest therein. Following the completion of the Issuer's initial public offering, HLM Venture Partners II, L.P. and its affiliated persons are no longer a 10% Owner. |
(2) | Each share of Preferred Stock automatically converted on a 1-to-0.5968 basis into Common Stock immediately upon the consummation of the Issuer's initial public offering and had no expiration date. |
(3) | The number of shares of Preferred Stock reflects the effect of applicable anti-dilution adjustments that occurred as a result of the issuance of the Series D Preferred Stock. |