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Highland Capital Partners VII-C LP

Disclosed activity across 2 companies

Tapewire entity
132849
SEC CIK
0001343673

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Carbon Black, Inc.CBLK · Entity 15451810% ownerDecember 12, 2018December 14, 2018
ThredUp Inc.TDUP · Entity 105710% ownerDecember 01, 2021December 03, 2021

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.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Highland Capital Partners VI Limited Partnership2,035,739 Reported balance After 2018-12-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-12-12 · Other · Disposed 1,166,810 · Balance 2,035,739

F1: Effective December 12, 2018, Highland Capital Partners VI Limited Partnership ("HCP VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 1,166,810 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VI Limited Partnership ("HMP VI LP"), the general partner of HCP VI, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Highland Capital Partners VI-B Limited Partnership1,116,002 Reported balance After 2018-12-12 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-12-12 · Other · Disposed 639,653 · Balance 1,116,002

F2: Effective December 12, 2018, Highland Capital Partners VI-B Limited Partnership ("HCP VI-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 639,653 shares of Common Stock of the Issuer to its limited partners, including HMP VI LP, the general partner of HCP VI-B, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Highland Entrepreneurs' Fund VI Limited Partnership100,829 Reported balance After 2018-12-12 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2018-12-12 · Other · Disposed 57,792 · Balance 100,829

F3: Effective December 12, 2018, Highland Entrepreneurs' Fund VI Limited Partnership ("HEF VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 57,792 shares of Common Stock of the Issuer to its limited partners, including HEF VI Limited Partnership ("HEF"), the general partner of HEF VI, and to the limited partners of HEF. The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Highland Capital Partners VII Limited Partnership521,234 Reported balance After 2018-12-12 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2018-12-12 · Other · Disposed 298,754 · Balance 521,234

F4: Effective December 12, 2018, Highland Capital Partners VII Limited Partnership ("HCP VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 298,754 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VII Limited Partnership ("HMP VII LP"), the general partner of HCP VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Highland Capital Partners VII-B Limited Partnership126,304 Reported balance After 2018-12-12 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2018-12-12 · Other · Disposed 72,394 · Balance 126,304

F5: Effective December 12, 2018, Highland Capital Partners VII-B Limited Partnership ("HCP VII-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 72,394 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-B, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Highland Capital Partners VII-C Limited Partnership183,940 Reported balance After 2018-12-12 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2018-12-12 · Other · Disposed 105,428 · Balance 183,940

F6: Effective December 12, 2018, Highland Capital Partners VII-C Limited Partnership ("HCP VII-C"), a venture capital partnership, distributed in-kind, without consideration, a total of 105,428 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-C, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Common StockSEC Table I · non-derivativeIndirectBy Highland Entrepreneurs' Fund VII Limited Partnership16,331 Reported balance After 2018-12-12 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2018-12-12 · Other · Disposed 9,362 · Balance 16,331

F7: Effective December 12, 2018, Highland Entrepreneurs' Fund VII Limited Partnership ("HEF VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 9,362 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HEF VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: Effective December 12, 2018, Highland Capital Partners VI Limited Partnership ("HCP VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 1,166,810 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VI Limited Partnership ("HMP VI LP"), the general partner of HCP VI, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F2: Effective December 12, 2018, Highland Capital Partners VI-B Limited Partnership ("HCP VI-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 639,653 shares of Common Stock of the Issuer to its limited partners, including HMP VI LP, the general partner of HCP VI-B, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F3: Effective December 12, 2018, Highland Entrepreneurs' Fund VI Limited Partnership ("HEF VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 57,792 shares of Common Stock of the Issuer to its limited partners, including HEF VI Limited Partnership ("HEF"), the general partner of HEF VI, and to the limited partners of HEF. The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F4: Effective December 12, 2018, Highland Capital Partners VII Limited Partnership ("HCP VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 298,754 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VII Limited Partnership ("HMP VII LP"), the general partner of HCP VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F5: Effective December 12, 2018, Highland Capital Partners VII-B Limited Partnership ("HCP VII-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 72,394 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-B, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F6: Effective December 12, 2018, Highland Capital Partners VII-C Limited Partnership ("HCP VII-C"), a venture capital partnership, distributed in-kind, without consideration, a total of 105,428 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-C, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F7: Effective December 12, 2018, Highland Entrepreneurs' Fund VII Limited Partnership ("HEF VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 9,362 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HEF VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote430,586 Reported balance After 2021-12-01 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-12-01 · Conversion · Acquired 430,586 · Balance 430,586

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F2: These shares are held of record by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). Highland Management Partners VII, LLC ("HMP VII LLC") is the general partner of Highland Management Partners VII Limited Partnership ("HMP VII LP"), which is the general partner of Highland Capital VII. Robert J. Davis, Paul A. Maeder, Corey M. Mulloy and Daniel J. Nova, a member of the Issuer's board of directors (collectively, the "Managing Members"), are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII to the extent of its or their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote104,339 Reported balance After 2021-12-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2021-12-01 · Conversion · Acquired 104,339 · Balance 104,339

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F3: These shares are held of record by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-B. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-B and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-B to the extent of its or their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote151,950 Reported balance After 2021-12-01 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2021-12-01 · Conversion · Acquired 151,950 · Balance 151,950

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F4: These shares are held of record by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-C. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-C and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-C to the extent of its or their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote13,125 Reported balance After 2021-12-01 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2021-12-01 · Conversion · Acquired 13,125 · Balance 13,125

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F5: These shares are held of record by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland Entrepreneurs' Fund"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Entrepreneurs' Fund. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Entrepreneurs' Fund and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Entrepreneurs' Fund to the extent of their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2021-12-01 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2021-12-01 · Other · Disposed 430,586 · Balance 0

F6: Represents a distribution, and not a purchase or sale, without additional consideration, by each of Highland Capital VII, Highland Capital VII-B, Highland Capital VII-C and Highland Entrepreneurs' Fund, as applicable, to its partners.

F2: These shares are held of record by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). Highland Management Partners VII, LLC ("HMP VII LLC") is the general partner of Highland Management Partners VII Limited Partnership ("HMP VII LP"), which is the general partner of Highland Capital VII. Robert J. Davis, Paul A. Maeder, Corey M. Mulloy and Daniel J. Nova, a member of the Issuer's board of directors (collectively, the "Managing Members"), are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII to the extent of its or their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2021-12-01 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2021-12-01 · Other · Disposed 104,339 · Balance 0

F6: Represents a distribution, and not a purchase or sale, without additional consideration, by each of Highland Capital VII, Highland Capital VII-B, Highland Capital VII-C and Highland Entrepreneurs' Fund, as applicable, to its partners.

F3: These shares are held of record by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-B. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-B and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-B to the extent of its or their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2021-12-01 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2021-12-01 · Other · Disposed 151,950 · Balance 0

F6: Represents a distribution, and not a purchase or sale, without additional consideration, by each of Highland Capital VII, Highland Capital VII-B, Highland Capital VII-C and Highland Entrepreneurs' Fund, as applicable, to its partners.

F4: These shares are held of record by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-C. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-C and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-C to the extent of its or their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2021-12-01 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2021-12-01 · Other · Disposed 13,125 · Balance 0

F6: Represents a distribution, and not a purchase or sale, without additional consideration, by each of Highland Capital VII, Highland Capital VII-B, Highland Capital VII-C and Highland Entrepreneurs' Fund, as applicable, to its partners.

F5: These shares are held of record by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland Entrepreneurs' Fund"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Entrepreneurs' Fund. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Entrepreneurs' Fund and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Entrepreneurs' Fund to the extent of their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote180,207 Reported balance After 2021-12-01 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 9 · 2021-12-01 · Other · Acquired 180,207 · Balance 180,207

F7: Represents a change in the form of ownership of HMP VII LP by virtue of the receipt of shares in the in-kind distribution of Class A Common Stock of the Issuer for no consideration by each of Highland Capital VII, Highland Capital VII-B, Highland Capital VII-C and Highland Entrepreneurs' Fund. HMP VII LP received (i) 110,876 of such shares in the in-kind distribution made by Highland Capital VII, (ii) 26,868 of such shares in the in-kind distribution made by Highland Capital VII-B, (iii) 39,128 of such shares in the in-kind distribution made by Highland Capital VII-C and (iv) 3,335 of such shares in the in-kind distribution made by Highland Entrepreneurs' Fund.

F8: These shares are held of record by HMP VII LP. HMP VII LLC is the general partner of HMP VII LP, and the Managing Members are the managing members of HMP VII LLC. Each of HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by HMP VII LP and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by HMP VII LP to the extent of their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2021-12-01 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 10 · 2021-12-01 · Other · Disposed 180,207 · Balance 0

F9: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration, by HMP VII LP to its partners.

F8: These shares are held of record by HMP VII LP. HMP VII LLC is the general partner of HMP VII LP, and the Managing Members are the managing members of HMP VII LLC. Each of HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by HMP VII LP and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by HMP VII LP to the extent of their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote178 Reported balance After 2021-12-01 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 11 · 2021-12-01 · Other · Acquired 178 · Balance 178

F10: Represents a change in the form of ownership of Highland Employee Investment Fund VII Limited Partnership ("HEIF VII") by virtue of the receipt of shares in the in-kind distribution of Class A Common Stock of the Issuer for no consideration by Highland Entrepreneurs' Fund.

F11: These shares are held of record by HEIF VII. HMP VII LLC is the general partner of HEIF VII, and the Managing Members are the managing members of HMP VII LLC. Each of HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by HEIF VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by HEIF VII to the extent of their respective pecuniary interests therein, if any.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2021-12-01 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 12 · 2021-12-01 · Other · Disposed 178 · Balance 0

F12: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration, by HEIF VII to its partners.

F11: These shares are held of record by HEIF VII. HMP VII LLC is the general partner of HEIF VII, and the Managing Members are the managing members of HMP VII LLC. Each of HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by HEIF VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by HEIF VII to the extent of their respective pecuniary interests therein, if any.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnote1,633,061 Reported balance After 2021-12-01 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2021-12-01 · Conversion · Disposed 430,586 · Balance 1,633,061

F13: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F2: These shares are held of record by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). Highland Management Partners VII, LLC ("HMP VII LLC") is the general partner of Highland Management Partners VII Limited Partnership ("HMP VII LP"), which is the general partner of Highland Capital VII. Robert J. Davis, Paul A. Maeder, Corey M. Mulloy and Daniel J. Nova, a member of the Issuer's board of directors (collectively, the "Managing Members"), are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII to the extent of its or their respective pecuniary interests therein, if any.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnote395,723 Reported balance After 2021-12-01 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2021-12-01 · Conversion · Disposed 104,339 · Balance 395,723

F13: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F3: These shares are held of record by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-B. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-B and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-B to the extent of its or their respective pecuniary interests therein, if any.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnote576,297 Reported balance After 2021-12-01 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2021-12-01 · Conversion · Disposed 151,950 · Balance 576,297

F13: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F4: These shares are held of record by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-C. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-C and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-C to the extent of its or their respective pecuniary interests therein, if any.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnote51,540 Reported balance After 2021-12-01 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2021-12-01 · Conversion · Disposed 13,125 · Balance 51,540

F13: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F5: These shares are held of record by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland Entrepreneurs' Fund"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Entrepreneurs' Fund. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Entrepreneurs' Fund and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Entrepreneurs' Fund to the extent of their respective pecuniary interests therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Class B Common Stock was converted into one share of Class A Common Stock at the option of the holder.

F2: These shares are held of record by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). Highland Management Partners VII, LLC ("HMP VII LLC") is the general partner of Highland Management Partners VII Limited Partnership ("HMP VII LP"), which is the general partner of Highland Capital VII. Robert J. Davis, Paul A. Maeder, Corey M. Mulloy and Daniel J. Nova, a member of the Issuer's board of directors (collectively, the "Managing Members"), are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII to the extent of its or their respective pecuniary interests therein, if any.

F3: These shares are held of record by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-B. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-B and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-B to the extent of its or their respective pecuniary interests therein, if any.

F4: These shares are held of record by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Capital VII-C. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-C and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-C to the extent of its or their respective pecuniary interests therein, if any.

F5: These shares are held of record by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland Entrepreneurs' Fund"). HMP VII LLC is the general partner of HMP VII LP, which is the general partner of Highland Entrepreneurs' Fund. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Entrepreneurs' Fund and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LP, HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by Highland Entrepreneurs' Fund to the extent of their respective pecuniary interests therein, if any.

F6: Represents a distribution, and not a purchase or sale, without additional consideration, by each of Highland Capital VII, Highland Capital VII-B, Highland Capital VII-C and Highland Entrepreneurs' Fund, as applicable, to its partners.

F7: Represents a change in the form of ownership of HMP VII LP by virtue of the receipt of shares in the in-kind distribution of Class A Common Stock of the Issuer for no consideration by each of Highland Capital VII, Highland Capital VII-B, Highland Capital VII-C and Highland Entrepreneurs' Fund. HMP VII LP received (i) 110,876 of such shares in the in-kind distribution made by Highland Capital VII, (ii) 26,868 of such shares in the in-kind distribution made by Highland Capital VII-B, (iii) 39,128 of such shares in the in-kind distribution made by Highland Capital VII-C and (iv) 3,335 of such shares in the in-kind distribution made by Highland Entrepreneurs' Fund.

F8: These shares are held of record by HMP VII LP. HMP VII LLC is the general partner of HMP VII LP, and the Managing Members are the managing members of HMP VII LLC. Each of HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by HMP VII LP and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by HMP VII LP to the extent of their respective pecuniary interests therein, if any.

F9: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration, by HMP VII LP to its partners.

F10: Represents a change in the form of ownership of Highland Employee Investment Fund VII Limited Partnership ("HEIF VII") by virtue of the receipt of shares in the in-kind distribution of Class A Common Stock of the Issuer for no consideration by Highland Entrepreneurs' Fund.

F11: These shares are held of record by HEIF VII. HMP VII LLC is the general partner of HEIF VII, and the Managing Members are the managing members of HMP VII LLC. Each of HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by HEIF VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC and the Managing Members disclaims beneficial ownership over the shares held by HEIF VII to the extent of their respective pecuniary interests therein, if any.

F12: Represents a pro-rata distribution, and not a purchase or sale, without additional consideration, by HEIF VII to its partners.

F13: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

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
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 ConversionSeries A-1 Preferred Stock · Derivative 17,518 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · derivative · entry 10

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 17,518 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.

F7 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F4 · ownership.nature: These shares are held of record by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). HMP VII LLC is the general partner of HMP VII LP which is the general partner of Highland Capital VII-B. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-B and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-B to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 ConversionSeries A-1 Preferred Stock · Derivative 72,292 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · derivative · entry 9

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 72,292 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.

F7 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F3 · ownership.nature: These shares are held of record by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). Highland Management Partners VII, LLC ("HMP VII LLC") is the general partner of Highland Management Partners VII Limited Partnership ("HMP VII LP") which is the general partner of Highland Capital VII. Robert J. Davis, Paul A. Maeder, Corey M. Mulloy and Daniel J. Nova, a member of the Issuer's board of directors (collectively, the "Managing Members"), are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 ConversionSeries A Preferred Stock · Derivative 3,458 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · derivative · entry 8

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,458 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.

F7 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F6 · ownership.nature: These shares are held of record by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland Entrepreneurs' Fund"). HMP VII LLC is the general partner of HMP VII LP which is the general partner of Highland Entrepreneurs' Fund. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Entrepreneurs' Fund and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Entrepreneurs' Fund to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 ConversionSeries A Preferred Stock · Derivative 38,939 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · derivative · entry 7

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 38,939 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.

F7 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F5 · ownership.nature: These shares are held of record by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). HMP VII LLC is the general partner of HMP VII LP which is the general partner of Highland Capital VII-C. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-C and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-C to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 ConversionSeries A Preferred Stock · Derivative 26,738 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · derivative · entry 6

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 26,738 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.

F7 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F4 · ownership.nature: These shares are held of record by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). HMP VII LLC is the general partner of HMP VII LP which is the general partner of Highland Capital VII-B. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-B and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-B to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 ConversionSeries A Preferred Stock · Derivative 110,343 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · derivative · entry 5

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 110,343 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.

F7 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F7 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series E-1 Preferred Stock and Series F Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of the Issuer's Common Stock, par value $0.0001 per share, on a one-for-one basis. The Preferred Stock had no expiration date.

F3 · ownership.nature: These shares are held of record by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). Highland Management Partners VII, LLC ("HMP VII LLC") is the general partner of Highland Management Partners VII Limited Partnership ("HMP VII LP") which is the general partner of Highland Capital VII. Robert J. Davis, Paul A. Maeder, Corey M. Mulloy and Daniel J. Nova, a member of the Issuer's board of directors (collectively, the "Managing Members"), are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 OtherCommon Stock 735 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · nonDerivative · entry 4

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F2 · price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F6 · ownership.nature: These shares are held of record by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland Entrepreneurs' Fund"). HMP VII LLC is the general partner of HMP VII LP which is the general partner of Highland Entrepreneurs' Fund. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Entrepreneurs' Fund and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Entrepreneurs' Fund to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 OtherCommon Stock 8,272 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · nonDerivative · entry 3

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F2 · price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F5 · ownership.nature: These shares are held of record by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). HMP VII LLC is the general partner of HMP VII LP which is the general partner of Highland Capital VII-C. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-C and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-C to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 OtherCommon Stock 5,680 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · nonDerivative · entry 2

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F2 · price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F4 · ownership.nature: These shares are held of record by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). HMP VII LLC is the general partner of HMP VII LP which is the general partner of Highland Capital VII-B. The Managing Members are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII-B and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII-B to the extent of their respective pecuniary interests therein, if any.

Read SEC document
March 30, 2021 Filed Apr 1, 2021 22:05 UTC ThredUp Inc. TDUP · Entity 1057 OtherCommon Stock 23,441 $0.00 $0.00
Disclosure

SEC source: 0001628280-21-006406 · wf-form4_161731467833867.xml · nonDerivative · entry 1

Highland Management Partners VIII Ltd · CIK 0001554033 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Entrepreneurs Fund VII Limited Partnership · CIK 0001357840 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.

F2 · price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation.

F3 · ownership.nature: These shares are held of record by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). Highland Management Partners VII, LLC ("HMP VII LLC") is the general partner of Highland Management Partners VII Limited Partnership ("HMP VII LP") which is the general partner of Highland Capital VII. Robert J. Davis, Paul A. Maeder, Corey M. Mulloy and Daniel J. Nova, a member of the Issuer's board of directors (collectively, the "Managing Members"), are the managing members of HMP VII LLC. Each of HMP VII LP, HMP VII LLC and the Managing Members may be deemed to share voting, investment and dispositive power over the shares held by Highland Capital VII and as a result may be deemed to have beneficial ownership over such shares. Each of HMP VII LLC, HMP VII LP and the Managing Members disclaims beneficial ownership over the shares held by Highland Capital VII to the extent of their respective pecuniary interests therein, if any.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 17:15 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 9,362 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-073134 · a4.xml · nonDerivative · entry 7

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VII Limited Partnership

Disclosed balance after: 16,331

F7 · kind: Effective December 12, 2018, Highland Entrepreneurs' Fund VII Limited Partnership ("HEF VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 9,362 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HEF VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F7 · ownership.nature: Effective December 12, 2018, Highland Entrepreneurs' Fund VII Limited Partnership ("HEF VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 9,362 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HEF VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 17:15 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 105,428 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-073134 · a4.xml · nonDerivative · entry 6

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-C Limited Partnership

Disclosed balance after: 183,940

F6 · kind: Effective December 12, 2018, Highland Capital Partners VII-C Limited Partnership ("HCP VII-C"), a venture capital partnership, distributed in-kind, without consideration, a total of 105,428 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-C, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F6 · ownership.nature: Effective December 12, 2018, Highland Capital Partners VII-C Limited Partnership ("HCP VII-C"), a venture capital partnership, distributed in-kind, without consideration, a total of 105,428 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-C, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 17:15 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 72,394 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-073134 · a4.xml · nonDerivative · entry 5

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-B Limited Partnership

Disclosed balance after: 126,304

F5 · kind: Effective December 12, 2018, Highland Capital Partners VII-B Limited Partnership ("HCP VII-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 72,394 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-B, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F5 · ownership.nature: Effective December 12, 2018, Highland Capital Partners VII-B Limited Partnership ("HCP VII-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 72,394 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-B, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 17:15 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 298,754 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-073134 · a4.xml · nonDerivative · entry 4

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII Limited Partnership

Disclosed balance after: 521,234

F4 · kind: Effective December 12, 2018, Highland Capital Partners VII Limited Partnership ("HCP VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 298,754 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VII Limited Partnership ("HMP VII LP"), the general partner of HCP VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Effective December 12, 2018, Highland Capital Partners VII Limited Partnership ("HCP VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 298,754 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VII Limited Partnership ("HMP VII LP"), the general partner of HCP VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 17:15 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 57,792 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-073134 · a4.xml · nonDerivative · entry 3

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VI Limited Partnership

Disclosed balance after: 100,829

F3 · kind: Effective December 12, 2018, Highland Entrepreneurs' Fund VI Limited Partnership ("HEF VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 57,792 shares of Common Stock of the Issuer to its limited partners, including HEF VI Limited Partnership ("HEF"), the general partner of HEF VI, and to the limited partners of HEF. The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: Effective December 12, 2018, Highland Entrepreneurs' Fund VI Limited Partnership ("HEF VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 57,792 shares of Common Stock of the Issuer to its limited partners, including HEF VI Limited Partnership ("HEF"), the general partner of HEF VI, and to the limited partners of HEF. The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 17:15 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 639,653 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-073134 · a4.xml · nonDerivative · entry 2

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI-B Limited Partnership

Disclosed balance after: 1,116,002

F2 · kind: Effective December 12, 2018, Highland Capital Partners VI-B Limited Partnership ("HCP VI-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 639,653 shares of Common Stock of the Issuer to its limited partners, including HMP VI LP, the general partner of HCP VI-B, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Effective December 12, 2018, Highland Capital Partners VI-B Limited Partnership ("HCP VI-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 639,653 shares of Common Stock of the Issuer to its limited partners, including HMP VI LP, the general partner of HCP VI-B, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 12, 2018 Filed Dec 14, 2018 17:15 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 1,166,810 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-073134 · a4.xml · nonDerivative · entry 1

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI Limited Partnership

Disclosed balance after: 2,035,739

F1 · kind: Effective December 12, 2018, Highland Capital Partners VI Limited Partnership ("HCP VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 1,166,810 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VI Limited Partnership ("HMP VI LP"), the general partner of HCP VI, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F1 · ownership.nature: Effective December 12, 2018, Highland Capital Partners VI Limited Partnership ("HCP VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 1,166,810 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VI Limited Partnership ("HMP VI LP"), the general partner of HCP VI, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:36 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 8,565 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-071703 · a4.xml · nonDerivative · entry 7

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VII Limited Partnership

Disclosed balance after: 25,693

F7 · kind: Effective December 3, 2018, Highland Entrepreneurs' Fund VII Limited Partnership ("HEF VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 8,565 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HEF VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F7 · ownership.nature: Effective December 3, 2018, Highland Entrepreneurs' Fund VII Limited Partnership ("HEF VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 8,565 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HEF VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:36 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 96,456 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-071703 · a4.xml · nonDerivative · entry 6

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-C Limited Partnership

Disclosed balance after: 289,368

F6 · kind: Effective December 3, 2018, Highland Capital Partners VII-C Limited Partnership ("HCP VII-C"), a venture capital partnership, distributed in-kind, without consideration, a total of 96,456 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-C, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F6 · ownership.nature: Effective December 3, 2018, Highland Capital Partners VII-C Limited Partnership ("HCP VII-C"), a venture capital partnership, distributed in-kind, without consideration, a total of 96,456 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-C, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:36 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 66,233 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-071703 · a4.xml · nonDerivative · entry 5

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-B Limited Partnership

Disclosed balance after: 198,698

F5 · kind: Effective December 3, 2018, Highland Capital Partners VII-B Limited Partnership ("HCP VII-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 66,233 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-B, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F5 · ownership.nature: Effective December 3, 2018, Highland Capital Partners VII-B Limited Partnership ("HCP VII-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 66,233 shares of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-B, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:36 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 273,330 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-071703 · a4.xml · nonDerivative · entry 4

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII Limited Partnership

Disclosed balance after: 819,988

F4 · kind: Effective December 3, 2018, Highland Capital Partners VII Limited Partnership ("HCP VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 273,330 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VII Limited Partnership ("HMP VII LP"), the general partner of HCP VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F4 · ownership.nature: Effective December 3, 2018, Highland Capital Partners VII Limited Partnership ("HCP VII"), a venture capital partnership, distributed in-kind, without consideration, a total of 273,330 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VII Limited Partnership ("HMP VII LP"), the general partner of HCP VII, and to the limited partners of HMP VII LP. The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:36 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 52,874 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-071703 · a4.xml · nonDerivative · entry 3

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VI Limited Partnership

Disclosed balance after: 158,621

F3 · kind: Effective December 3, 2018, Highland Entrepreneurs' Fund VI Limited Partnership ("HEF VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 52,874 shares of Common Stock of the Issuer to its limited partners, including HEF VI Limited Partnership ("HEF"), the general partner of HEF VI, and to the limited partners of HEF. The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: Effective December 3, 2018, Highland Entrepreneurs' Fund VI Limited Partnership ("HEF VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 52,874 shares of Common Stock of the Issuer to its limited partners, including HEF VI Limited Partnership ("HEF"), the general partner of HEF VI, and to the limited partners of HEF. The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:36 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 585,219 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-071703 · a4.xml · nonDerivative · entry 2

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI-B Limited Partnership

Disclosed balance after: 1,755,655

F2 · kind: Effective December 3, 2018, Highland Capital Partners VI-B Limited Partnership ("HCP VI-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 585,219 shares of Common Stock of the Issuer to its limited partners, including HMP VI LP, the general partner of HCP VI-B, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Effective December 3, 2018, Highland Capital Partners VI-B Limited Partnership ("HCP VI-B"), a venture capital partnership, distributed in-kind, without consideration, a total of 585,219 shares of Common Stock of the Issuer to its limited partners, including HMP VI LP, the general partner of HCP VI-B, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:36 UTC Carbon Black, Inc. CBLK · Entity 154518 OtherCommon Stock 1,067,516 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-071703 · a4.xml · nonDerivative · entry 1

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI Limited Partnership

Disclosed balance after: 3,202,549

F1 · kind: Effective December 3, 2018, Highland Capital Partners VI Limited Partnership ("HCP VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 1,067,516 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VI Limited Partnership ("HMP VI LP"), the general partner of HCP VI, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

F1 · ownership.nature: Effective December 3, 2018, Highland Capital Partners VI Limited Partnership ("HCP VI"), a venture capital partnership, distributed in-kind, without consideration, a total of 1,067,516 shares of Common Stock of the Issuer to its limited partners, including Highland Management Partners VI Limited Partnership ("HMP VI LP"), the general partner of HCP VI, and to the limited partners of HMP VI LP. The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries F Convertible Preferred Stock · Derivative 32,486 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 24

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VII Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 16,243 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F8 · ownership.nature: The shares are held directly by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland VII Entrepreneurs' Fund"). The general partner of Highland VII Entrepreneurs' Fund is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of his their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries F Convertible Preferred Stock · Derivative 365,866 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 23

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-C Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 182,933 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F7 · ownership.nature: The shares are held directly by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). The general partner of Highland Capital VII-C is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries F Convertible Preferred Stock · Derivative 251,227 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 22

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-B Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 125,613 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F6 · ownership.nature: The shares are held directly by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). The general partner of Highland Capital VII-B is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries F Convertible Preferred Stock · Derivative 1,036,762 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 21

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 518,381 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F5 · ownership.nature: The shares are held directly by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). The general partner of Highland Capital VII is Highland Management Partners VII Limited Partnership ("HMP VII LP"). The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries E Convertible Preferred Stock · Derivative 36,031 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 20

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VII Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 18,015 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F8 · ownership.nature: The shares are held directly by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland VII Entrepreneurs' Fund"). The general partner of Highland VII Entrepreneurs' Fund is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of his their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries E Convertible Preferred Stock · Derivative 405,783 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 19

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-C Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 202,891 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F7 · ownership.nature: The shares are held directly by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). The general partner of Highland Capital VII-C is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries E Convertible Preferred Stock · Derivative 278,637 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 18

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-B Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 139,318 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F6 · ownership.nature: The shares are held directly by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). The general partner of Highland Capital VII-B is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries E Convertible Preferred Stock · Derivative 1,149,874 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 17

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 574,937 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F5 · ownership.nature: The shares are held directly by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). The general partner of Highland Capital VII is Highland Management Partners VII Limited Partnership ("HMP VII LP"). The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries D Convertible Preferred Stock · Derivative 34,166 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 16

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VI Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 17,083 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F4 · ownership.nature: The shares are held directly by Highland Entrepreneurs' Fund VI Limited Partnership ("Highland VI Entrepreneurs' Fund"). The general partner of Highland VI Entrepreneurs' Fund is HEF VI Limited Partnership ("HEF"). The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries D Convertible Preferred Stock · Derivative 378,171 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 15

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI-B Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 189,085 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F3 · ownership.nature: The shares are held directly by Highland Capital Partners VI-B Limited Partnership ("Highland Capital VI-B"). The general partner of Highland Capital VI-B is HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries D Convertible Preferred Stock · Derivative 689,800 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 14

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 344,900 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2 · ownership.nature: The shares are held directly by Highland Capital Partners VI Limited Partnership ("Highland Capital VI"). The general partner of Highland Capital VI is Highland Management Partners VI Limited Partnership ("HMP VI LP"). The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries C Convertible Preferred Stock · Derivative 76,480 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 13

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VI Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 38,240 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F4 · ownership.nature: The shares are held directly by Highland Entrepreneurs' Fund VI Limited Partnership ("Highland VI Entrepreneurs' Fund"). The general partner of Highland VI Entrepreneurs' Fund is HEF VI Limited Partnership ("HEF"). The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries C Convertible Preferred Stock · Derivative 846,518 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 12

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI-B Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 423,259 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F3 · ownership.nature: The shares are held directly by Highland Capital Partners VI-B Limited Partnership ("Highland Capital VI-B"). The general partner of Highland Capital VI-B is HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries C Convertible Preferred Stock · Derivative 1,544,087 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 11

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 772,043 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2 · ownership.nature: The shares are held directly by Highland Capital Partners VI Limited Partnership ("Highland Capital VI"). The general partner of Highland Capital VI is Highland Management Partners VI Limited Partnership ("HMP VI LP"). The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries B Convertible Preferred Stock · Derivative 237,472 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 10

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VI Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 118,736 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F4 · ownership.nature: The shares are held directly by Highland Entrepreneurs' Fund VI Limited Partnership ("Highland VI Entrepreneurs' Fund"). The general partner of Highland VI Entrepreneurs' Fund is HEF VI Limited Partnership ("HEF"). The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries B Convertible Preferred Stock · Derivative 2,628,466 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 9

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI-B Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 1,314,233 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F3 · ownership.nature: The shares are held directly by Highland Capital Partners VI-B Limited Partnership ("Highland Capital VI-B"). The general partner of Highland Capital VI-B is HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionSeries B Convertible Preferred Stock · Derivative 4,794,437 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · derivative · entry 8

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI Limited Partnership

Disclosed balance after: 0

Underlying: Common Stock · 2,397,218 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2 · ownership.nature: The shares are held directly by Highland Capital Partners VI Limited Partnership ("Highland Capital VI"). The general partner of Highland Capital VI is Highland Management Partners VI Limited Partnership ("HMP VI LP"). The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

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May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionCommon Stock 34,258 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · nonDerivative · entry 7

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VII Limited Partnership

Disclosed balance after: 34,258

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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

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May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionCommon Stock 385,824 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · nonDerivative · entry 6

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-C Limited Partnership

Disclosed balance after: 385,824

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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

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May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionCommon Stock 264,931 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · nonDerivative · entry 5

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII-B Limited Partnership

Disclosed balance after: 264,931

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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionCommon Stock 1,093,318 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · nonDerivative · entry 4

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VII Limited Partnership

Disclosed balance after: 1,093,318

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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionCommon Stock 174,059 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · nonDerivative · entry 3

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Entrepreneurs' Fund VI Limited Partnership

Disclosed balance after: 211,495

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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F4 · ownership.nature: The shares are held directly by Highland Entrepreneurs' Fund VI Limited Partnership ("Highland VI Entrepreneurs' Fund"). The general partner of Highland VI Entrepreneurs' Fund is HEF VI Limited Partnership ("HEF"). The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionCommon Stock 1,926,577 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · nonDerivative · entry 2

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI-B Limited Partnership

Disclosed balance after: 2,340,874

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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F3 · ownership.nature: The shares are held directly by Highland Capital Partners VI-B Limited Partnership ("Highland Capital VI-B"). The general partner of Highland Capital VI-B is HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
May 08, 2018 Filed May 10, 2018 21:25 UTC Carbon Black, Inc. CBLK · Entity 154518 ConversionCommon Stock 3,514,161 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-032301 · a4.xml · nonDerivative · entry 1

Highland Management Partners VI, Inc. · CIK 0001456415 · 10% owner

HIGHLAND MANAGEMENT PARTNERS VI L P · CIK 0001253995 · 10% owner

HIGHLAND CAPITAL PARTNERS VI-B LP · CIK 0001135507 · 10% owner

HIGHLAND CAPITAL PARTNERS VI LP · CIK 0001135500 · 10% owner

HIGHLAND ENTREPRENEURS FUND VI LP · CIK 0001156158 · 10% owner

Highland Management Partners VII Limited Partnership · CIK 0001554027 · 10% owner

Highland Capital Partners VII LP · CIK 0001343678 · 10% owner

HIGHLAND CAPITAL PARTNERS VII-B L P · CIK 0001343244 · 10% owner

Highland Capital Partners VII-C LP · CIK 0001343673 · 10% owner

Highland Management Partners VII, LLC · CIK 0001554026 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Highland Capital Partners VI Limited Partnership

Disclosed balance after: 4,270,065

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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2 · ownership.nature: The shares are held directly by Highland Capital Partners VI Limited Partnership ("Highland Capital VI"). The general partner of Highland Capital VI is Highland Management Partners VI Limited Partnership ("HMP VI LP"). The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

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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.