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Nasdaq · USD

SONO

Sonos Inc

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1773
SEC CIK
0001314727
Parsed reports
419

Last 12 months

Inside the activity.

17 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202501
Jan 202600
Feb 202690
Mar 202660
Apr 202600
May 202610
Jun 202600
Jul 202602
Aug 202600
Sep 202603
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 19, 2019 Filed Feb 21, 2019 21:20 UTC SaleCommon Stock 79,623 $11.54 $918,491.12
Disclosure

SEC source: 0000899243-19-004381 · doc4.xml · nonDerivative · entry 1

Volpi Michelangelo · CIK 0001626464 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,852,111

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.50 to $11.64. The reporting persons undertake 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.

F2 · ownership.nature: The shares are held directly by Index Ventures Growth I (Jersey), L.P. ("Index I").

F4 · ownership.nature: Michelangelo Volpi, a member of the Issuer's Board of Directors, is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index I, Index I Parallel and Yucca (Jersey) SLP (collectively, the "Index Funds"). Mr. Volpi is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. Mr. Volpi disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 17:03 UTC
Fraser AnnaChief People Officer
GrantRestricted Stock Units · Derivative 186,856 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004878 · doc1.xml · derivative · entry 1

Fraser Anna · CIK 0001765328 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,856

Underlying: Common Stock · 186,856 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F2 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:07 UTC
Lazarus Edward PChief Legal Officer & Secty.
GrantEmployee Stock Option (right to buy) · Derivative 200,000 $0.00 Strike: $11.12 $0.00
Disclosure

SEC source: 0001567619-19-004880 · doc1.xml · derivative · entry 3

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-02-14

F4 · derivative.exercise_date: The stock option will vest as to 1/4 of the total number of shares subject to the stock option on February 15, 2020, and thereafter shall vest as to 1/16 of the total number of shares subject to the stock option in equal quarterly installments beginning on May 15, 2020, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:07 UTC
Lazarus Edward PChief Legal Officer & Secty.
GrantRestricted Stock Units · Derivative 52,146 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004880 · doc1.xml · derivative · entry 2

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,146

Underlying: Common Stock · 52,146 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F3 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:07 UTC
Lazarus Edward PChief Legal Officer & Secty.
GrantRestricted Stock Units · Derivative 69,528 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004880 · doc1.xml · derivative · entry 1

Lazarus Edward P · CIK 0001610766 · Chief Legal Officer & Secty.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,528

Underlying: Common Stock · 69,528 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 1/4 of the RSUs will vest on February 15, 2020, and 1/16 of the RSUs will vest on each quarterly anniversary thereafter beginning on May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F2 · derivative.expiration_date: 1/4 of the RSUs will vest on February 15, 2020, and 1/16 of the RSUs will vest on each quarterly anniversary thereafter beginning on May 15, 2020, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 17:03 UTC
GIANNETTO MICHAELChief Financial Officer
GrantRestricted Stock Units · Derivative 156,438 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004879 · doc1.xml · derivative · entry 1

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,438

Underlying: Common Stock · 156,438 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F2 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:09 UTC
Spence PatrickDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 23,627 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004885 · doc1.xml · derivative · entry 3

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,417

Underlying: Common Stock · 23,627 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F1 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on November 19, 2018.

F6 · derivative.exercise_date: 1/16 of the RSUs will vest on February 15, 2019, and the remainder will vest on each quarterly anniversary thereafter in equal installments, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F6 · derivative.expiration_date: 1/16 of the RSUs will vest on February 15, 2019, and the remainder will vest on each quarterly anniversary thereafter in equal installments, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:09 UTC
Spence PatrickDirector · Chief Executive Officer
SaleCommon Stock 8,610 $11.45 $98,575.89
Disclosure

SEC source: 0001567619-19-004885 · doc1.xml · nonDerivative · entry 2

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,017

F2 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this line were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.

F3 · shares: Represents the aggregate of sales effected on the same day at different prices.

F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $11.44 to $11.45 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:09 UTC
Spence PatrickDirector · Chief Executive Officer
Exercise / conversionCommon Stock 23,627 $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004885 · doc1.xml · nonDerivative · entry 1

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,627

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Vesting of restricted stock units ("RSUs") granted to the Reporting Person on November 19, 2018.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:09 UTC
Siegel Matthew O.Chief Commercial Officer
GrantRestricted Stock Units · Derivative 269,421 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004883 · doc1.xml · derivative · entry 1

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,421

Underlying: Common Stock · 269,421 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F2 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:08 UTC
Millington NicholasChief Product Officer
GrantRestricted Stock Units · Derivative 278,112 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001567619-19-004881 · doc1.xml · derivative · entry 3

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,112

Underlying: Common Stock · 278,112 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F5 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F5 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of February 15, 2019, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:08 UTC
Millington NicholasChief Product Officer
SaleCommon Stock 15,054 $11.46 $172,520.35
Disclosure

SEC source: 0001567619-19-004881 · doc1.xml · nonDerivative · entry 2

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,714

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

F2 · shares: Represents the aggregate of sales effected on the same day at different prices.

F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $11.45 to $11.475 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

Read SEC document
February 12, 2019 Filed Feb 19, 2019 22:08 UTC
Millington NicholasChief Product Officer
SaleCommon Stock 34,946 $11.46 $400,491.64
Disclosure

SEC source: 0001567619-19-004881 · doc1.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,768

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.

Read SEC document
February 04, 2019 Filed Oct 1, 2019 20:34 UTC
Millington NicholasChief Product Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 100,000 $0.00 Strike: $1.15 $0.00
Disclosure

SEC source: 0001562180-19-004989 · primarydocument.xml · derivative · entry 6

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2019-05-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: The stock option is fully vested and immediately exercisable.

Read SEC document
February 04, 2019 Filed Oct 1, 2019 20:34 UTC
Millington NicholasChief Product Officer
Exercise / conversionCommon Stock 100,000 $1.15 $115,000.00
Disclosure

SEC source: 0001562180-19-004989 · primarydocument.xml · nonDerivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,493

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 19, 2018 Filed Nov 21, 2018 21:48 UTC
Spence PatrickDirector · Chief Executive Officer
GrantStock Options (Right to buy) · Derivative 875,000 $0.00 Strike: $15.44 $0.00
Disclosure

SEC source: 0001562180-18-004644 · primarydocument.xml · derivative · entry 2

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 875,000

Underlying: Common Stock · 875,000 shares

Expires 2028-11-18

F3 · derivative.exercise_date: The stock option will vest as to 1/2 of the total number of shares subject to the stock option on November 15, 2021, and the remaining 1/2 of the total number of shares subject to the stock option on November 15, 2022, subject to the continuing employment of the Reporting Person on each vesting date.

Read SEC document
November 19, 2018 Filed Nov 21, 2018 21:48 UTC
Spence PatrickDirector · Chief Executive Officer
GrantRestricted Stock Units · Derivative 378,044 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001562180-18-004644 · primarydocument.xml · derivative · entry 1

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,044

Underlying: Common Stock · 0 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2018, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

F2 · derivative.expiration_date: 1/16 of the shares subject to the RSUs will vest in equal installments on each quarterly anniversary date following the vesting commencement date of November 15, 2018, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person upon vesting.

Read SEC document
August 06, 2018 Filed Aug 6, 2018 16:34 UTC ConversionSeries C Preferred Stock · Derivative 56,850 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035596 · doc1.xml · derivative · entry 6

Index Ventures Growth I (Jersey) L.P. · CIK 0001466950 · 10% owner

Index Venture Growth Associates I Ltd · CIK 0001447961 · 10% owner

Index Ventures Growth I Parallel Entrepreneur Fund (Jersey) L.P. · CIK 0001466948 · 10% owner

Yucca (Jersey) SLP · CIK 0001591294 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 56,850 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F3 · ownership.nature: Michelangelo Volpi, a member of the Issuer's Board of Directors, is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index Ventures Growth I (Jersey), L.P. ("Index I"), Index I Parallel and Yucca (Jersey) SLP (collectively, the "Index Funds"). Mr. Volpi is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. Mr. Volpi disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

F5 · ownership.nature: The shares are held directly by Yucca (Jersey) SLP ("Yucca"). Yucca is a co-investment vehicle that is contractually required to mirror the investment of Index I and Index I Parallel. The corporate general partner of Yucca is Yucca Associates Limited. Nigel T. Greenwood and Ian J. Henderson are directors of Yucca Associates Limited and share voting and dispositive power with respect to the securities held by Yucca. Each of these persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
August 06, 2018 Filed Aug 6, 2018 16:34 UTC ConversionSeries C Preferred Stock · Derivative 381,380 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035596 · doc1.xml · derivative · entry 5

Index Ventures Growth I (Jersey) L.P. · CIK 0001466950 · 10% owner

Index Venture Growth Associates I Ltd · CIK 0001447961 · 10% owner

Index Ventures Growth I Parallel Entrepreneur Fund (Jersey) L.P. · CIK 0001466948 · 10% owner

Yucca (Jersey) SLP · CIK 0001591294 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 381,380 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: The shares are held directly by Index Ventures Growth I Parallel Entrepreneur Fund (Jersey), L.P. ("Index I Parallel")

F3 · ownership.nature: Michelangelo Volpi, a member of the Issuer's Board of Directors, is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index Ventures Growth I (Jersey), L.P. ("Index I"), Index I Parallel and Yucca (Jersey) SLP (collectively, the "Index Funds"). Mr. Volpi is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. Mr. Volpi disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

F4 · ownership.nature: Index Venture Growth Associates I Limited ("IVGA I") is the general partner of Index I and Index I Parallel. Nigel Greenwood, Ian Henderson, Sinead Meehan, Bernard Dalle, Phil Balderson and David Hall are directors of IVGA I, and share voting and dispositive power with respect to the securities held by Index I and Index I Parallel. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein.

Read SEC document
August 06, 2018 Filed Aug 6, 2018 16:34 UTC ConversionSeries C Preferred Stock · Derivative 10,931,734 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035596 · doc1.xml · derivative · entry 4

Index Ventures Growth I (Jersey) L.P. · CIK 0001466950 · 10% owner

Index Venture Growth Associates I Ltd · CIK 0001447961 · 10% owner

Index Ventures Growth I Parallel Entrepreneur Fund (Jersey) L.P. · CIK 0001466948 · 10% owner

Yucca (Jersey) SLP · CIK 0001591294 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,931,734 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

Read SEC document
August 06, 2018 Filed Aug 6, 2018 16:34 UTC ConversionCommon Stock 56,850 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-035596 · doc1.xml · nonDerivative · entry 3

Index Ventures Growth I (Jersey) L.P. · CIK 0001466950 · 10% owner

Index Venture Growth Associates I Ltd · CIK 0001447961 · 10% owner

Index Ventures Growth I Parallel Entrepreneur Fund (Jersey) L.P. · CIK 0001466948 · 10% owner

Yucca (Jersey) SLP · CIK 0001591294 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 60,420

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F3 · ownership.nature: Michelangelo Volpi, a member of the Issuer's Board of Directors, is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index Ventures Growth I (Jersey), L.P. ("Index I"), Index I Parallel and Yucca (Jersey) SLP (collectively, the "Index Funds"). Mr. Volpi is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. Mr. Volpi disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

F5 · ownership.nature: The shares are held directly by Yucca (Jersey) SLP ("Yucca"). Yucca is a co-investment vehicle that is contractually required to mirror the investment of Index I and Index I Parallel. The corporate general partner of Yucca is Yucca Associates Limited. Nigel T. Greenwood and Ian J. Henderson are directors of Yucca Associates Limited and share voting and dispositive power with respect to the securities held by Yucca. Each of these persons disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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August 06, 2018 Filed Aug 6, 2018 16:34 UTC ConversionCommon Stock 381,380 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-035596 · doc1.xml · nonDerivative · entry 2

Index Ventures Growth I (Jersey) L.P. · CIK 0001466950 · 10% owner

Index Venture Growth Associates I Ltd · CIK 0001447961 · 10% owner

Index Ventures Growth I Parallel Entrepreneur Fund (Jersey) L.P. · CIK 0001466948 · 10% owner

Yucca (Jersey) SLP · CIK 0001591294 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1,092,096

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: The shares are held directly by Index Ventures Growth I Parallel Entrepreneur Fund (Jersey), L.P. ("Index I Parallel")

F3 · ownership.nature: Michelangelo Volpi, a member of the Issuer's Board of Directors, is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index Ventures Growth I (Jersey), L.P. ("Index I"), Index I Parallel and Yucca (Jersey) SLP (collectively, the "Index Funds"). Mr. Volpi is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. Mr. Volpi disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.

F4 · ownership.nature: Index Venture Growth Associates I Limited ("IVGA I") is the general partner of Index I and Index I Parallel. Nigel Greenwood, Ian Henderson, Sinead Meehan, Bernard Dalle, Phil Balderson and David Hall are directors of IVGA I, and share voting and dispositive power with respect to the securities held by Index I and Index I Parallel. Each of these persons disclaims beneficial ownership of these securities except to the extent of his or her pecuniary interest therein.

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August 06, 2018 Filed Aug 6, 2018 16:34 UTC ConversionCommon Stock 10,931,734 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-035596 · doc1.xml · nonDerivative · entry 1

Index Ventures Growth I (Jersey) L.P. · CIK 0001466950 · 10% owner

Index Venture Growth Associates I Ltd · CIK 0001447961 · 10% owner

Index Ventures Growth I Parallel Entrepreneur Fund (Jersey) L.P. · CIK 0001466948 · 10% owner

Yucca (Jersey) SLP · CIK 0001591294 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,931,734

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

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August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionSeries A Preferred Stock · Derivative 12,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · derivative · entry 9

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F3 · ownership.nature: The shares are held by the Robert J. Bach 2013 Annuity Trust, for which the Reporting Person serves as a trustee.

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August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionSeries A Preferred Stock · Derivative 12,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · derivative · entry 8

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: The shares are held by the Pauline M. Bach 2013 Annuity Trust, of which the Reporting Person's spouse is a beneficiary.

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August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionSeries D Preferred Stock · Derivative 52,236 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · derivative · entry 7

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 52,236 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

Read SEC document
August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionSeries B Preferred Stock · Derivative 17,196 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · derivative · entry 6

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,196 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

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August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionSeries A Preferred Stock · Derivative 27,716 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · derivative · entry 5

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,716 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

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August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionCommon Stock 12,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · nonDerivative · entry 3

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F3 · ownership.nature: The shares are held by the Robert J. Bach 2013 Annuity Trust, for which the Reporting Person serves as a trustee.

Read SEC document
August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionCommon Stock 12,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · nonDerivative · entry 2

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · ownership.nature: The shares are held by the Pauline M. Bach 2013 Annuity Trust, of which the Reporting Person's spouse is a beneficiary.

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August 06, 2018 Filed Aug 6, 2018 20:32 UTC ConversionCommon Stock 97,148 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-035595 · doc1.xml · nonDerivative · entry 1

BACH ROBERT J · CIK 0001193099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,534

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

Read SEC document
August 06, 2018 Filed Aug 6, 2018 20:35 UTC ConversionSeries C Preferred Stock · Derivative 11,369,964 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-035598 · doc1.xml · derivative · entry 2

Volpi Michelangelo · CIK 0001626464 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 11,369,964 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F1 · shares: Of the shares reported, (a) 10,931,734 shares are held directly by Index Ventures Growth I (Jersey), L.P. ("Index I"), (b) 381,380 shares are held directly by Index Ventures Growth I Parallel Entrepreneur Fund (Jersey), L.P. ("Index I Parallel"), and (c) 56,850 shares are held directly by Yucca (Jersey) SLP ("Yucca").

F2 · derivative.exercise_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F2 · derivative.expiration_date: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F4 · ownership.nature: The Reporting Person is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index I, Index I Parallel, and Yucca (collectively, the "Index Funds"). The Reporting Person is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.

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August 06, 2018 Filed Aug 6, 2018 20:35 UTC ConversionCommon Stock 11,369,964 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-18-035598 · doc1.xml · nonDerivative · entry 1

Volpi Michelangelo · CIK 0001626464 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,084,250

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Of the shares reported, (a) 10,931,734 shares are held directly by Index Ventures Growth I (Jersey), L.P. ("Index I"), (b) 381,380 shares are held directly by Index Ventures Growth I Parallel Entrepreneur Fund (Jersey), L.P. ("Index I Parallel"), and (c) 56,850 shares are held directly by Yucca (Jersey) SLP ("Yucca").

F2 · price: In connection with the consummation of the Issuer's initial public offering on August 6, 2018, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

F3 · balance_after: Of the shares reported, (a) 10,931,734 shares are held directly by Index I, (b) 1,092,096 shares are held directly by Index I Parallel, and (c) 60,420 shares are held directly by Yucca.

F4 · ownership.nature: The Reporting Person is a partner with the Index Ventures group. Advisors within the Index Ventures group provide advice to Index I, Index I Parallel, and Yucca (collectively, the "Index Funds"). The Reporting Person is involved in making recommendations to the Index Funds, but does not hold voting or dispositive power over the shares held by the Index Funds. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for Section 16 or any other purpose.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 16:30 UTC SaleCommon Stock 2,030,892 $14.18 $28,787,894.10
Disclosure

SEC source: 0001140361-18-035975 · form4.xml · nonDerivative · entry 1

KKR Stream Holdings LLC · CIK 0001746819 · 10% owner

KKR 2006 Fund L.P. · CIK 0001432741 · 10% owner

KKR Associates 2006 LP · CIK 0001432739 · 10% owner

KKR 2006 GP LLC · CIK 0001432740 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 21,845,682

F1 · price: This amount represents the $15.00 initial public offering price per share of common stock of Sonos, Inc., less the underwriting discount of $0.825 per share.

F2 · ownership.nature: These securities of Sonos, Inc. are held by KKR Stream Holdings LLC. KKR 2006 Fund L.P. is the managing member of KKR Stream Holdings LLC. KKR Associates 2006 L.P. is the general partner of KKR 2006 Fund L.P. KKR 2006 GP LLC is the general partner of KKR Associates 2006 L.P. KKR Fund Holdings L.P. is the designated member of KKR 2006 GP LLC. KKR Fund Holdings GP Limited is a general partner of KKR Fund Holdings L.P. KKR Group Holdings Corp. is a general partner of KKR Fund Holdings L.P. and the sole shareholder of KKR Fund Holdings GP Limited. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLC is the controlling shareholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the designated members of KKR Management LLC. In addition, Messrs. Kravis and Roberts have been designated as managers of KKR 2006 GP LLC by KKR Fund Holdings L.P.

F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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August 06, 2018 Filed Aug 8, 2018 20:30 UTC SaleCommon Stock 2,030,892 $14.18 $28,787,894.10
Disclosure

SEC source: 0001140361-18-035976 · form4.xml · nonDerivative · entry 1

KKR Fund Holdings L.P. · CIK 0001472698 · 10% owner

KKR Fund Holdings GP Ltd · CIK 0001472697 · 10% owner

KKR Group Holdings Corp. · CIK 0001743754 · 10% owner

KKR & Co. Inc. · CIK 0001404912 · 10% owner

KKR Management LLC · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 21,845,682

F1 · price: This amount represents the $15.00 initial public offering price per share of common stock of Sonos, Inc., less the underwriting discount of $0.825 per share.

F2 · ownership.nature: These securities of Sonos, Inc. are held by KKR Stream Holdings LLC. KKR 2006 Fund L.P. is the managing member of KKR Stream Holdings LLC. KKR Associates 2006 L.P. is the general partner of KKR 2006 Fund L.P. KKR 2006 GP LLC is the general partner of KKR Associates 2006 L.P. KKR Fund Holdings L.P. is the designated member of KKR 2006 GP LLC. KKR Fund Holdings GP Limited is a general partner of KKR Fund Holdings L.P. KKR Group Holdings Corp. is a general partner of KKR Fund Holdings L.P. and the sole shareholder of KKR Fund Holdings GP Limited. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLC is the controlling shareholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the designated members of KKR Management LLC. In addition, Messrs. Kravis and Roberts have been designated as managers of KKR 2006 GP LLC by KKR Fund Holdings L.P.

F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.

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August 02, 2018 Filed Aug 6, 2018 20:31 UTC PurchaseCommon Stock 108 $18.37 $1,983.96
Disclosure

SEC source: 0001140361-18-035594 · doc1.xml · nonDerivative · entry 1

Volpi Michelangelo · CIK 0001626464 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Volpi-Cupal Family Trust

Disclosed balance after: 108

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August 01, 2018 Filed Aug 2, 2018 17:01 UTC
GIANNETTO MICHAELChief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 43,000 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001140361-18-035185 · doc1.xml · derivative · entry 1

GIANNETTO MICHAEL · CIK 0001229872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,000

Underlying: Common Stock · 43,000 shares

Expires 2028-07-31

F1 · derivative.exercise_date: The stock option will vest as to 1/4th of the total number of shares subject to the stock option on August 1, 2019, and thereafter shall vest as to 1/12th of the total number of shares subject to the stock option in equal quarterly installments beginning on November 1, 2019, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

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August 01, 2018 Filed Aug 2, 2018 21:02 UTC
Siegel Matthew O.Chief Commercial Officer
GrantEmployee Stock Option (right to buy) · Derivative 43,000 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001140361-18-035191 · doc1.xml · derivative · entry 1

Siegel Matthew O. · CIK 0001744461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,000

Underlying: Common Stock · 43,000 shares

Expires 2028-07-31

F1 · derivative.exercise_date: The stock option will vest as to 1/4th of the total number of shares subject to the stock option on August 1, 2019, and thereafter shall vest as to 1/12th of the total number of shares subject to the stock option in equal quarterly installments beginning on November 1, 2019, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

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August 01, 2018 Filed Aug 2, 2018 21:01 UTC
Millington NicholasChief Product Officer
GrantEmployee Stock Option (right to buy) · Derivative 43,000 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001140361-18-035187 · doc1.xml · derivative · entry 1

Millington Nicholas · CIK 0001743324 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,000

Underlying: Common Stock · 43,000 shares

Expires 2028-07-31

F1 · derivative.exercise_date: The stock option will vest as to 1/4th of the total number of shares subject to the stock option on August 1, 2019, and thereafter shall vest as to 1/12th of the total number of shares subject to the stock option in equal quarterly installments beginning on November 1, 2019, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

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August 01, 2018 Filed Aug 2, 2018 21:03 UTC
Spence PatrickDirector · Chief Executive Officer
GrantEmployee Stock Option (right to buy) · Derivative 200,000 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001140361-18-035193 · doc1.xml · derivative · entry 1

Spence Patrick · CIK 0001743317 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-07-31

F1 · derivative.exercise_date: The stock option will vest as to 1/4th of the total number of shares subject to the stock option on August 1, 2019, and thereafter shall vest as to 1/12th of the total number of shares subject to the stock option in equal quarterly installments beginning on November 1, 2019, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.