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NORWEST VENTURE PARTNERS XI, LP

Disclosed activity across 3 companies

Tapewire entity
106341
SEC CIK
0001534522

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Apigee Corp

Report date October 25, 2016 · Filed October 28, 2016 · Amendment

Jointly reported with Norwest Venture Partners IX, LP, Crowe Jeffrey, Howard Matthew D., NORWEST VENTURE PARTNERS VIII LP

Section 16 reporting ended · disclosed 2016-10-28. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Limited Partnership102,465 Reported balance After 2016-10-25 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2016-10-25 · Other · Disposed 4,874,426 · Balance 102,465

F1: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners IX, LP ("NVP IX") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP IX, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2: The NVP IX distribution resulted in a change in the form of beneficial ownership so that following the distribution (i) 68,317 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee, and (ii) 34,148 shares were beneficially owned by the Crowe Family Trust, 12/22/88, of which Mr. Crowe is a trustee.

Common StockSEC Table I · non-derivativeIndirectBy Limited Partnership1,866 Reported balance After 2016-10-25 transaction · row 2 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 2 · 2016-10-25 · Other · Disposed 871,695 · Balance 1,866

F3: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners VIII, LP ("NVP VIII") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP VIII, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F4: The NVP VIII distribution resulted in a change in the form of beneficial ownership so that following the distribution 1,866 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee.

Common StockSEC Table I · non-derivativeIndirectBy Limited Partnership0 Reported balance After 2016-10-25 transaction · row 3 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 3 · 2016-10-25 · Other · Disposed 472,557 · Balance 0

F5: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F6: The securities shown on Line 3 of Table 1 represent securities held of record by NVP XI. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Messers. Crowe and Howard may be deemed to share voting and dispositive power over the shares held by NVP XI. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners IX, LP ("NVP IX") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP IX, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2: The NVP IX distribution resulted in a change in the form of beneficial ownership so that following the distribution (i) 68,317 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee, and (ii) 34,148 shares were beneficially owned by the Crowe Family Trust, 12/22/88, of which Mr. Crowe is a trustee.

F3: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners VIII, LP ("NVP VIII") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP VIII, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F4: The NVP VIII distribution resulted in a change in the form of beneficial ownership so that following the distribution 1,866 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee.

F5: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F6: The securities shown on Line 3 of Table 1 represent securities held of record by NVP XI. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Messers. Crowe and Howard may be deemed to share voting and dispositive power over the shares held by NVP XI. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Health Catalyst, Inc.

Report date July 15, 2020 · Filed July 17, 2020

Jointly reported with Norwest Venture Partners XII, LP, Crowe Jeffrey, Kossow Jon Erik

Section 16 reporting ended · disclosed 2020-07-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,752,214 Reported balance After 2020-07-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-07-15 · Other · Disposed 599,939 · Balance 1,752,214

F1: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited partners.

F2: The NVP XI distribution resulted in a change in the form of beneficial ownership so that following the distribution 123 shares were beneficially owned by Kossow Family Trust, of which Mr. Kossow is a Trustee. The remaining 1,752,091 shares are held of record by NVP XI. Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Limited Partnership1,752,090 Reported balance After 2020-07-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2020-07-15 · Other · Disposed 600,000 · Balance 1,752,090

F3: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited partners.

F4: The securities shown on Line 2 of Table I represent securities held of record by NVP XII. Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited partners.

F2: The NVP XI distribution resulted in a change in the form of beneficial ownership so that following the distribution 123 shares were beneficially owned by Kossow Family Trust, of which Mr. Kossow is a Trustee. The remaining 1,752,091 shares are held of record by NVP XI. Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F3: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited partners.

F4: The securities shown on Line 2 of Table I represent securities held of record by NVP XII. Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

iRhythm Holdings, Inc.

Report date May 08, 2017 · Filed May 10, 2017

Jointly reported with Crowe Jeffrey, Howard Matthew D., Norwest Venture Partners XII, LP, HAQUE PROMOD

Section 16 reporting ended · disclosed 2017-05-10. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect284,747 Reported balance After 2017-05-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2017-05-08 · Other · Disposed 900,000 · Balance 284,747

F1: The securities shown on Line 1 of Table I represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messrs. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from NVP XI to its limited and general partners.

Common StockSEC Table I · non-derivativeIndirectBy Limited Partnership284,747 Reported balance After 2017-05-08 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2017-05-08 · Other · Disposed 900,000 · Balance 284,747

F3: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited and general partners.

F4: The securities shown on Line 2 of Table I represent securities held of record by NVP XII. By virtue of their positions as co-Chief Executive Officers of NVP Associates, the managing member of the general partner of NVP XII, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messers. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities shown on Line 1 of Table I represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messrs. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from NVP XI to its limited and general partners.

F3: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited and general partners.

F4: The securities shown on Line 2 of Table I represent securities held of record by NVP XII. By virtue of their positions as co-Chief Executive Officers of NVP Associates, the managing member of the general partner of NVP XII, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messers. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
July 15, 2020 Filed Jul 17, 2020 18:00 UTC Health Catalyst, Inc. HCAT · Entity 1565 OtherCommon Stock 600,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-042940 · doc4.xml · nonDerivative · entry 2

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 1,752,090

F3 · kind: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited partners.

F3 · price: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited partners.

F4 · ownership.nature: The securities shown on Line 2 of Table I represent securities held of record by NVP XII. Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 15, 2020 Filed Jul 17, 2020 18:00 UTC Health Catalyst, Inc. HCAT · Entity 1565 OtherCommon Stock 599,939 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-042940 · doc4.xml · nonDerivative · entry 1

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,752,214

F1 · kind: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited partners.

F1 · price: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited partners.

F2 · balance_after: The NVP XI distribution resulted in a change in the form of beneficial ownership so that following the distribution 123 shares were beneficially owned by Kossow Family Trust, of which Mr. Kossow is a Trustee. The remaining 1,752,091 shares are held of record by NVP XI. Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
January 21, 2020 Filed Jan 23, 2020 17:30 UTC Health Catalyst, Inc. HCAT · Entity 1565 OtherCommon Stock 600,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-004714 · doc4.xml · nonDerivative · entry 2

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 2,352,090

F3 · kind: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited partners.

F3 · price: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited partners.

F4 · ownership.nature: The securities shown on Line 2 of Table I represent securities held of record by NVP XII. Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
January 21, 2020 Filed Jan 23, 2020 17:30 UTC Health Catalyst, Inc. HCAT · Entity 1565 OtherCommon Stock 599,938 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-004714 · doc4.xml · nonDerivative · entry 1

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,352,153

F1 · kind: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited partners.

F1 · price: Shares were disposed of via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited partners.

F2 · balance_after: The NVP XI distribution resulted in a change in the form of beneficial ownership so that following the distribution 62 shares were beneficially owned by Kossow Family Trust, of which Mr. Kossow is a Trustee. The remaining 2,352,091 shares are held of record by NVP XI. Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries F Convertible Preferred Stock · Derivative 35,919 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 12

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 35,919 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.

F6 · derivative.exercise_price: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F6 · derivative.exercise_date: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F6 · derivative.expiration_date: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F7 · ownership.nature: The securities shown on Line 2 of Table I and Lines 6 through 10 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries E Convertible Preferred Stock · Derivative 424,568 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 11

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 424,568 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: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F5 · derivative.exercise_date: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F5 · derivative.expiration_date: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F7 · ownership.nature: The securities shown on Line 2 of Table I and Lines 6 through 10 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries D Convertible Preferred Stock · Derivative 471,831 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 10

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 471,831 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.

F4 · derivative.exercise_price: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F4 · derivative.exercise_date: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F4 · derivative.expiration_date: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F7 · ownership.nature: The securities shown on Line 2 of Table I and Lines 6 through 10 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries C Convertible Preferred Stock · Derivative 577,045 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 9

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 577,045 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.

F3 · derivative.exercise_price: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F3 · derivative.exercise_date: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F3 · derivative.expiration_date: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F7 · ownership.nature: The securities shown on Line 2 of Table I and Lines 6 through 10 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries B Convertible Preferred Stock · Derivative 1,442,727 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 8

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 1,442,727 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: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F2 · derivative.exercise_date: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F2 · derivative.expiration_date: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F7 · ownership.nature: The securities shown on Line 2 of Table I and Lines 6 through 10 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries F Convertible Preferred Stock · Derivative 35,919 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 7

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 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 · 35,919 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 · security: The securities shown on Line 1 of Table I and Lines 1 through 5 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F6 · derivative.exercise_price: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F6 · derivative.exercise_date: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F6 · derivative.expiration_date: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries E Convertible Preferred Stock · Derivative 424,568 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 6

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 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 · 424,568 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 · security: The securities shown on Line 1 of Table I and Lines 1 through 5 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F5 · derivative.exercise_price: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F5 · derivative.exercise_date: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F5 · derivative.expiration_date: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries D Convertible Preferred Stock · Derivative 471,832 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 5

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 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 · 471,832 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 · security: The securities shown on Line 1 of Table I and Lines 1 through 5 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F4 · derivative.exercise_price: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F4 · derivative.exercise_date: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F4 · derivative.expiration_date: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries C Convertible Preferred Stock · Derivative 577,045 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 4

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 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 · 577,045 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 · security: The securities shown on Line 1 of Table I and Lines 1 through 5 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F3 · derivative.exercise_price: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F3 · derivative.exercise_date: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F3 · derivative.expiration_date: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionSeries B Convertible Preferred Stock · Derivative 1,442,727 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · derivative · entry 3

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 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 · 1,442,727 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 · security: The securities shown on Line 1 of Table I and Lines 1 through 5 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2 · derivative.exercise_price: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F2 · derivative.exercise_date: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F2 · derivative.expiration_date: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionCommon Stock 2,952,090 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · nonDerivative · entry 2

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 2,952,090

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 · price: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F3 · price: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F4 · price: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F5 · price: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F6 · price: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F7 · ownership.nature: The securities shown on Line 2 of Table I and Lines 6 through 10 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). Genesis VC Partners XII, LLC ("Genesis XII") is the general partner of NVP XII and may be deemed to have sole voting and dispositive power over the shares held by NVP XII. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XII, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
July 29, 2019 Filed Jul 29, 2019 21:02 UTC Health Catalyst, Inc. HCAT · Entity 1565 ConversionCommon Stock 2,952,091 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-043590 · doc4.xml · nonDerivative · entry 1

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Kossow Jon Erik · CIK 0001726084 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,952,091

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 · security: The securities shown on Line 1 of Table I and Lines 1 through 5 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). Genesis VC Partners XI, LLC ("Genesis XI") is the general partner of NVP XI and may be deemed to have sole voting and dispositive power over the shares held by NVP XI. NVP Associates, LLC ("NVP Associates"), the managing member of Genesis XI, and Jeffrey Crowe and Jon E. Kossow, as Co-Chief Executive Officers of NVP Associates, may be deemed to share voting and dispositive power with respect to such securities. Such entities, Crowe and Kossow disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2 · price: The Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F3 · price: The Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F4 · price: The Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F5 · price: The Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

F6 · price: The Series F Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.

Read SEC document
May 08, 2017 Filed May 10, 2017 17:47 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 OtherCommon Stock 900,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031386 · doc4.xml · nonDerivative · entry 2

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 284,747

F3 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited and general partners.

F3 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from Norwest Venture Partners XII, LP ("NVP XII") to its limited and general partners.

F4 · ownership.nature: The securities shown on Line 2 of Table I represent securities held of record by NVP XII. By virtue of their positions as co-Chief Executive Officers of NVP Associates, the managing member of the general partner of NVP XII, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messers. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
May 08, 2017 Filed May 10, 2017 17:47 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 OtherCommon Stock 900,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031386 · doc4.xml · nonDerivative · entry 1

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,747

F1 · security: The securities shown on Line 1 of Table I represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messrs. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from NVP XI to its limited and general partners.

F2 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's common stock from NVP XI to its limited and general partners.

Read SEC document
October 25, 2016 Filed Oct 25, 2016 19:54 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 ConversionSeries E Convertible Preferred Stock · Derivative 397,883 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146911 · doc4.xml · derivative · entry 6

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 397,883 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: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F5 · derivative.exercise_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F5 · derivative.expiration_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F6 · ownership.nature: The securities shown on Line 2 of Table I and Lines 3 and 4 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC("NVP Associates"), the managing member of the general partner of NVP XII, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messers. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
October 25, 2016 Filed Oct 25, 2016 19:54 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 ConversionSeries D Convertible Preferred Stock · Derivative 786,864 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146911 · doc4.xml · derivative · entry 5

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 786,864 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.

F4 · derivative.exercise_price: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F4 · derivative.exercise_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F4 · derivative.expiration_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F6 · ownership.nature: The securities shown on Line 2 of Table I and Lines 3 and 4 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC("NVP Associates"), the managing member of the general partner of NVP XII, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messers. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

Read SEC document
October 25, 2016 Filed Oct 25, 2016 19:54 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 ConversionSeries E Convertible Preferred Stock · Derivative 397,883 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146911 · doc4.xml · derivative · entry 4

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 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 · 397,883 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 · security: The securities shown on Line 1 of Table I and Lines 1 and 2 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC("NVP Associates"), the managing member of the general partner of NVP XI, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messrs. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F3 · derivative.exercise_price: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F3 · derivative.exercise_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F3 · derivative.expiration_date: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

Read SEC document
October 25, 2016 Filed Oct 25, 2016 19:54 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 ConversionSeries D Convertible Preferred Stock · Derivative 786,864 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-146911 · doc4.xml · derivative · entry 3

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 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 · 786,864 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 · security: The securities shown on Line 1 of Table I and Lines 1 and 2 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC("NVP Associates"), the managing member of the general partner of NVP XI, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messrs. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2 · derivative.exercise_price: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F2 · derivative.exercise_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F2 · derivative.expiration_date: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

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October 25, 2016 Filed Oct 25, 2016 19:54 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 ConversionCommon Stock 1,184,747 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-146911 · doc4.xml · nonDerivative · entry 2

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 1,184,747

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.

F4 · price: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F5 · price: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F6 · ownership.nature: The securities shown on Line 2 of Table I and Lines 3 and 4 of Table II represent securities held of record by Norwest Venture Partners XII, LP ("NVP XII"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC("NVP Associates"), the managing member of the general partner of NVP XII, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messers. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

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October 25, 2016 Filed Oct 25, 2016 19:54 UTC iRhythm Holdings, Inc. IRTC · Entity 1499 ConversionCommon Stock 1,184,747 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-16-146911 · doc4.xml · nonDerivative · entry 1

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

Norwest Venture Partners XII, LP · CIK 0001614660 · 10% owner

HAQUE PROMOD · CIK 0001089744 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,184,747

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 · security: The securities shown on Line 1 of Table I and Lines 1 and 2 of Table II represent securities held of record by Norwest Venture Partners XI, LP ("NVP XI"). By virtue of their positions as co-Chief Executive Officers of NVP Associates, LLC("NVP Associates"), the managing member of the general partner of NVP XI, Promod Haque, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power with respect to such securities. Messrs. Haque, Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2 · price: The Series D Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

F3 · price: The Series E Convertible Preferred Stock automatically converted into common stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and has no expiration date.

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October 25, 2016 Filed Oct 27, 2016 18:47 UTC Apigee Corp APIC · Entity 181062 OtherCommon Stock 873,561 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-147200 · doc4.xml · nonDerivative · entry 2

Norwest Venture Partners IX, LP · CIK 0001309124 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

NORWEST VENTURE PARTNERS VIII LP · CIK 0001176230 · 10% owner

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

F3 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners VIII, LP ("NVP VIII") to its limited and general partners.

F3 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners VIII, LP ("NVP VIII") to its limited and general partners.

F4 · ownership.nature: The securities shown on Line 2 of Table 1 represent securities held of record by NVP VIII. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP VIII, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP VIII. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

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October 25, 2016 Filed Oct 27, 2016 18:47 UTC Apigee Corp APIC · Entity 181062 OtherCommon Stock 4,976,891 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-147200 · doc4.xml · nonDerivative · entry 1

Norwest Venture Partners IX, LP · CIK 0001309124 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

NORWEST VENTURE PARTNERS VIII LP · CIK 0001176230 · 10% owner

Norwest Venture Partners XI, LP · CIK 0001534522 · 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

F1 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners IX, LP ("NVP IX") to its limited and general partners.

F1 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners IX, LP ("NVP IX") to its limited and general partners.

F2 · ownership.direct: The securities shown on Line 1 of Table 1 represent securities held of record by NVP IX. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP IX, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

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October 25, 2016 Filed Oct 28, 2016 17:11 UTC Amendment Apigee Corp APIC · Entity 181062 OtherCommon Stock 472,557 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-147329 · doc4a.xml · nonDerivative · entry 3

Norwest Venture Partners IX, LP · CIK 0001309124 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

NORWEST VENTURE PARTNERS VIII LP · CIK 0001176230 · 10% owner

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

F5 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F5 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F6 · ownership.nature: The securities shown on Line 3 of Table 1 represent securities held of record by NVP XI. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Messers. Crowe and Howard may be deemed to share voting and dispositive power over the shares held by NVP XI. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

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October 25, 2016 Filed Oct 28, 2016 17:11 UTC Amendment Apigee Corp APIC · Entity 181062 OtherCommon Stock 871,695 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-147329 · doc4a.xml · nonDerivative · entry 2

Norwest Venture Partners IX, LP · CIK 0001309124 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

NORWEST VENTURE PARTNERS VIII LP · CIK 0001176230 · 10% owner

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 1,866

F3 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners VIII, LP ("NVP VIII") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP VIII, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F3 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners VIII, LP ("NVP VIII") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP VIII, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F4 · balance_after: The NVP VIII distribution resulted in a change in the form of beneficial ownership so that following the distribution 1,866 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee.

F4 · ownership.nature: The NVP VIII distribution resulted in a change in the form of beneficial ownership so that following the distribution 1,866 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee.

Read SEC document
October 25, 2016 Filed Oct 28, 2016 17:11 UTC Amendment Apigee Corp APIC · Entity 181062 OtherCommon Stock 4,874,426 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-147329 · doc4a.xml · nonDerivative · entry 1

Norwest Venture Partners IX, LP · CIK 0001309124 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

NORWEST VENTURE PARTNERS VIII LP · CIK 0001176230 · 10% owner

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 102,465

F1 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners IX, LP ("NVP IX") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP IX, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F1 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners IX, LP ("NVP IX") to its limited and general partners. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP IX, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP IX. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

F2 · balance_after: The NVP IX distribution resulted in a change in the form of beneficial ownership so that following the distribution (i) 68,317 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee, and (ii) 34,148 shares were beneficially owned by the Crowe Family Trust, 12/22/88, of which Mr. Crowe is a trustee.

F2 · ownership.nature: The NVP IX distribution resulted in a change in the form of beneficial ownership so that following the distribution (i) 68,317 shares were beneficially owned by the Howard 2001 Revocable Trust, of which Mr. Howard is a trustee, and (ii) 34,148 shares were beneficially owned by the Crowe Family Trust, 12/22/88, of which Mr. Crowe is a trustee.

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October 25, 2015 Filed Oct 27, 2016 18:47 UTC Apigee Corp APIC · Entity 181062 OtherCommon Stock 472,557 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-147200 · doc4.xml · nonDerivative · entry 3

Norwest Venture Partners IX, LP · CIK 0001309124 · 10% owner

Crowe Jeffrey · CIK 0001535261 · 10% owner

Howard Matthew D. · CIK 0001576176 · 10% owner

NORWEST VENTURE PARTNERS VIII LP · CIK 0001176230 · 10% owner

Norwest Venture Partners XI, LP · CIK 0001534522 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnership

Disclosed balance after: 0

F5 · kind: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited and general partners.

F5 · price: Shares were disposed via a pro rata in-kind distribution of Issuer's stock from Norwest Venture Partners XI, LP ("NVP XI") to its limited and general partners.

F6 · ownership.nature: The securities shown on Line 3 of Table 1 represent securities held of record by NVP XI. By virtue of their position as co-Chief Executive Officers of NVP Associates, LLC ("NVP Associates"), the managing member of the general partner of NVP XI, Jeffrey Crowe and Matthew D. Howard may be deemed to share voting and dispositive power over the shares held by NVP VIII. Messers. Crowe and Howard disclaim beneficial ownership of all such securities, except to the extent of any pecuniary interest therein.

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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.