UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series B Redeemable Preferred Stock, $0.001 par value | Â (1) | Â (1) | Common Stock | 406,250 | $ (1) | D | Â |
Series C Redeemable Preferred Stock, $0.001 par value | Â (1) | Â (1) | Common Stock | 677,622 | $ (1) | D | Â |
Preferred Stock Warrant (Right to Buy) | Â (2) | 01/30/2018 | Series C Convertible Preferred Stock | 390,000 (2) | $ 5 (2) | D | Â |
Series B Redeemable Preferred Stock, $0.001 par value | Â (1) | Â (1) | Common Stock | 10,416 | $ (1) | I | By: Presidio Partners 2007 (Parallel), L.P. |
Series C Redeemable Preferred Stock, $0.001 par value | Â (1) | Â (1) | Common Stock | 17,374 | $ (1) | I | By: Presidio Partners 2007 (Parallel), L.P. |
Preferred Stock Warrant (Right to Buy) | Â (2) | 01/30/2018 | Series C Convertible Preferred Stock | 10,000 (2) | $ 5 (2) | I | By: Presidio Partners 2007 (Parallel), L.P. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Presidio Partners 2007, L.P. ONE LETTERMAN DRIVE BUILDING C, SUITE CM500 SAN FRANCISCO, CA 94129 |
 |  X |  |  |
Presidio Partners 2007 (Parallel), L.P. ONE LETTERMAN DRIVE BUILDING C, SUITE CM500 SAN FRANCISCO, CA 94129 |
 |  X |  |  |
Presidio Partners 2007 GP, L.P. ONE LETTERMAN DRIVE BUILDING C, SUITE CM500 SAN FRANCISCO, CA 94129 |
 |  X |  |  |
Presidio Partners 2007 GP, LLC ONE LETTERMAN DRIVE BUILDING C, SUITE CM500 SAN FRANCISCO, CA 94129 |
 |  X |  |  |
Watson James F ONE LETTERMAN DRIVE BUILDING C, SUITE CM500 SAN FRANCISCO, CA 94129 |
 |  X |  |  |
Sohail Faysal A. ONE LETTERMAN DRIVE BUILDING C, SUITE CM500 SAN FRANCISCO, CA 94129 |
 |  X |  |  |
Collier David J ONE LETTERMAN DRIVE BUILDING C, SUITE CM500 SAN FRANCISCO, CA 94129 |
 |  X |  |  |
PRESIDIO PARTNERS 2007, L.P. By: Presidio Partners 2007 GP, L.P., its General Partner By: Presidio Partners 2007 GP LLC, its General Partner /s/ David J. Collier, Manager | 07/22/2015 | |
**Signature of Reporting Person | Date | |
Presidio Partners 2007 (Parallel), L.P., By: /s/ David J. Collier, Manager | 07/22/2015 | |
**Signature of Reporting Person | Date | |
Presidio Partners 2007 GP, L.P. /s/ David J. Collier, Manager | 07/22/2015 | |
**Signature of Reporting Person | Date | |
Presidio Partners 2007 GP, LLC /s/ David J. Collier, Manager | 07/22/2015 | |
**Signature of Reporting Person | Date | |
/s/ James F. Watson | 07/22/2015 | |
**Signature of Reporting Person | Date | |
/s/ Faysal A. Sohail | 07/22/2015 | |
**Signature of Reporting Person | Date | |
/s/ David J. Collier | 07/22/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Each share of the issuer's Series B Preferred Stock and Series C Preferred Stock will be automatically converted on a 2.4 for 1 basis into common stock immediately prior to the closing of the issuer's initial public offering and has no expiration. |
(2) | The warrant is exercisable at the earlier of (i) the holder's election for the number of shares of Series C preferred stock (a) shown in column 3 at a price of $5.00 per share of Series C preferred stock or (b) such number of shares issuable pursuant to a cashless net exercise provision pursuant to which the holder surrenders the warrant and recieves a net number of shares of Series C preferred stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price (the "Cashless Exercise Provision"); and (ii) immediately prior to the closing of the Issuer's initial public offering pursuant to the Cashless Exercise Provision. |