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organization · Reporting owner

Spring Mountain Capital G.P., LLC

Disclosed activity across 3 companies

Tapewire entity
134618
SEC CIK
0001549593

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
IsoPlexis CorpISO · Entity 11529010% ownerOctober 12, 2021October 14, 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.

IsoPlexis Corp

Report date October 12, 2021 · Filed October 14, 2021

Jointly reported with SMC Growth Capital II GP, LLC, SMC Growth Capital Partners II, LP, SMC Private Equity Holdings GP, LLC, SMC Private Equity Holdings, LP, SMC Holdings II G.P., LLC, SMC Holdings II, LP, Ho Gregory P., Steffens John

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy SMC Growth Capital Partners II, LP3,726,732 Last balance in matching sequence After 2021-10-12 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rows

Row 1 · 2021-10-12 · Conversion · Acquired 894,128 · Balance 894,128

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F5: Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 2 · 2021-10-12 · Conversion · Acquired 338,959 · Balance 1,233,087

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F6: Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 3 · 2021-10-12 · Conversion · Acquired 630,209 · Balance 1,863,296

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F7: Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 4 · 2021-10-12 · Conversion · Acquired 739,033 · Balance 2,602,329

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F8: Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 5 · 2021-10-12 · Conversion · Acquired 689,267 · Balance 3,291,596

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F9: Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 6 · 2021-10-12 · Conversion · Acquired 435,136 · Balance 3,726,732

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F10: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Common StockSEC Table I · non-derivativeIndirectBy SMC Private Equity Holdings, LP2,270,287 Last balance in matching sequence After 2021-10-12 transaction · row 11 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rows

Row 7 · 2021-10-12 · Conversion · Acquired 744,083 · Balance 744,083

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F11: Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 8 · 2021-10-12 · Conversion · Acquired 459,781 · Balance 1,203,864

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F12: Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 9 · 2021-10-12 · Conversion · Acquired 415,337 · Balance 1,619,201

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F13: Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 10 · 2021-10-12 · Conversion · Acquired 215,950 · Balance 1,835,151

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F14: Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Row 11 · 2021-10-12 · Conversion · Acquired 435,136 · Balance 2,270,287

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F15: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Common StockSEC Table I · non-derivativeIndirectBy SMC Holdings II, LP67,642 Reported balance After 2021-10-12 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 12 · 2021-10-12 · Conversion · Acquired 67,642 · Balance 67,642

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F16: Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F4: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Growth Capital Partners II, LP0 Reported balance After 2021-10-12 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2021-10-12 · Conversion · Disposed 107,604 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series A-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Growth Capital Partners II, LP0 Reported balance After 2021-10-12 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2021-10-12 · Conversion · Disposed 39,726 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series A-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Private Equity Holdings, LP0 Reported balance After 2021-10-12 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2021-10-12 · Conversion · Disposed 87,398 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series A-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Holdings II, LP0 Reported balance After 2021-10-12 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2021-10-12 · Conversion · Disposed 7,945 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F4: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Growth Capital Partners II, LP0 Reported balance After 2021-10-12 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2021-10-12 · Conversion · Disposed 73,571 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Private Equity Holdings, LP0 Reported balance After 2021-10-12 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2021-10-12 · Conversion · Disposed 53,480 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series B-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Growth Capital Partners II, LP0 Reported balance After 2021-10-12 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2021-10-12 · Conversion · Disposed 84,347 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series B-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Private Equity Holdings, LP0 Reported balance After 2021-10-12 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2021-10-12 · Conversion · Disposed 47,403 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series C Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Growth Capital Partners II, LP0 Reported balance After 2021-10-12 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2021-10-12 · Conversion · Disposed 78,999 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series C Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Private Equity Holdings, LP0 Reported balance After 2021-10-12 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2021-10-12 · Conversion · Disposed 24,833 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series C-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Growth Capital Partners II, LP0 Reported balance After 2021-10-12 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 23 · 2021-10-12 · Conversion · Disposed 51,522 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Series C-2 Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy SMC Private Equity Holdings, LP0 Reported balance After 2021-10-12 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 24 · 2021-10-12 · Conversion · Disposed 51,522 · Balance 0

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

F3: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

F4: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

F5: Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F6: Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F7: Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F8: Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F9: Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F10: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F11: Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F12: Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F13: Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F14: Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F15: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F16: Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

Past disclosures · reporting ended (2)

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

AMERICAN POWER GROUP Corp

Report date December 19, 2017 · Filed December 21, 2017

Jointly reported with Spring Mountain Capital, LLC, SMC Select Co-Investment Fund I LP, SMC Select Co-Investment I GP, LLC, Spring Mountain Capital, LP, SMC Employees Partnership, Steffens John, Ho Gregory P., SMC Reserve Fund II, LP

Section 16 reporting ended · disclosed 2017-12-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2017-12-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2017-12-19 · Sale · Disposed 1,947,370 · Balance 0

F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein.

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2017-12-19 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2017-12-19 · Sale · Disposed 954,209 · Balance 0

F6: SMC EP sold 954,209 shares of Common Stock.

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2017-12-19 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2017-12-19 · Sale · Disposed 1,740,585 · Balance 0

F15: SMC Reserve II sold 1,740,585 shares of Common Stock.

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2017-12-19 · Sale · Disposed 4,123,095 · Balance 0

F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP.

F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2017-12-19 · Sale · Disposed 5,077,704 · Balance 0

F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40Direct0 Reported balance After 2017-12-19 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2017-12-19 · Sale · Disposed 133.3333 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40Direct0 Reported balance After 2017-12-19 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2017-12-19 · Sale · Disposed 65.3333 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40Direct0 Reported balance After 2017-12-19 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2017-12-19 · Sale · Disposed 213.3333 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30Direct0 Reported balance After 2017-12-19 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2017-12-19 · Sale · Disposed 2,500,000 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28Direct0 Reported balance After 2017-12-19 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2017-12-19 · Sale · Disposed 833,333 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30Direct0 Reported balance After 2017-12-19 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2017-12-19 · Sale · Disposed 1,225,000 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28Direct0 Reported balance After 2017-12-19 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2017-12-19 · Sale · Disposed 408,333 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21Direct0 Reported balance After 2017-12-19 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30Direct0 Reported balance After 2017-12-19 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 23 · 2017-12-19 · Sale · Disposed 4,000,000 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28Direct0 Reported balance After 2017-12-19 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 24 · 2017-12-19 · Sale · Disposed 1,333,333 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2017-12-19 · Sale · Disposed 399.9999 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2017-12-19 · Sale · Disposed 465.3333 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2017-12-19 · Sale · Disposed 7,500,000 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2017-12-19 · Sale · Disposed 2,499,999 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2017-12-19 · Sale · Disposed 8,725,000 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2017-12-19 · Sale · Disposed 2,908,332 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20IndirectSee Footnotes0 Reported balance After 2017-12-19 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20Direct0 Reported balance After 2017-12-19 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein.

F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP.

F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

F6: SMC EP sold 954,209 shares of Common Stock.

F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

F15: SMC Reserve II sold 1,740,585 shares of Common Stock.

F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

GRESHAM WORLDWIDE, INC.

Report date August 27, 2020 · Filed August 31, 2020

Jointly reported with Spring Mountain Capital, LLC, SMC Private Equity Holdings GP, LLC, SMC Private Equity Holdings, LP, SMC Select Co-Investment I GP, LLC, SMC Select Co-Investment Fund I LP, Steffens John, Ho Gregory P.

Section 16 reporting ended · disclosed 2020-08-31. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2020-08-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-08-27 · Sale · Disposed 62,715 · Balance 0

F1: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP").

Series B Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-08-27 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-08-27 · Sale · Disposed 8,704.44 · Balance 0

F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F3: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens.

F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

Series C Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-08-27 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-08-27 · Sale · Disposed 3,020.35 · Balance 0

F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F4: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens.

F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

Series D Convertible Voting Perpetual Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-08-27 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-08-27 · Sale · Disposed 5,111.86 · Balance 0

F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F5: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP.

F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP").

F2: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F3: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens.

F4: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens.

F5: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP.

F6: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

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
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative 51,522 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 24

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 0

Underlying: Common Stock · 412,176 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative 51,522 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 23

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 0

Underlying: Common Stock · 412,176 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries C Redeemable Convertible Preferred Stock · Derivative 24,833 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 22

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 0

Underlying: Common Stock · 198,664 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries C Redeemable Convertible Preferred Stock · Derivative 78,999 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 21

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 0

Underlying: Common Stock · 631,992 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries B-2 Redeemable Convertible Preferred Stock · Derivative 47,403 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 20

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 0

Underlying: Common Stock · 379,224 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries B-2 Redeemable Convertible Preferred Stock · Derivative 84,347 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 19

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 0

Underlying: Common Stock · 674,776 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries B Redeemable Convertible Preferred Stock · Derivative 53,480 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 18

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 0

Underlying: Common Stock · 427,840 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries B Redeemable Convertible Preferred Stock · Derivative 73,571 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 17

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 0

Underlying: Common Stock · 588,568 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries A-2 Redeemable Convertible Preferred Stock · Derivative 7,945 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 16

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Holdings II, LP

Disclosed balance after: 0

Underlying: Common Stock · 63,560 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F4 · ownership.nature: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries A-2 Redeemable Convertible Preferred Stock · Derivative 87,398 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 15

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 0

Underlying: Common Stock · 699,184 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries A-2 Redeemable Convertible Preferred Stock · Derivative 39,726 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 14

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 0

Underlying: Common Stock · 317,808 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: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionSeries A Redeemable Convertible Preferred Stock · Derivative 107,604 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · derivative · entry 13

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 0

Underlying: Common Stock · 860,832 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 67,642 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 12

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Holdings II, LP

Disclosed balance after: 67,642

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F16 · shares: Includes 4,082 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F4 · ownership.nature: The securities are directly held by SMC Holdings II, LP ("Holdings"). SMC Holdings II G.P., LLC, a Delaware limited liability company ("Holdings GP"), is the general partner of Holdings. Mr. Steffens and Mr. Ho each serves as a managing member of Holdings GP. Each of Holdings GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by Holdings. Holdings holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho and Holdings GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 435,136 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 11

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 2,270,287

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F15 · shares: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 215,950 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 10

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 1,835,151

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F14 · shares: Includes 17,286 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 415,337 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 9

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 1,619,201

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F13 · shares: Includes 36,113 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 459,781 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 8

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 1,203,864

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F12 · shares: Includes 31,941 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 744,083 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 7

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Private Equity Holdings, LP

Disclosed balance after: 744,083

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F11 · shares: Includes 44,899 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: The securities are directly held by SMC Private Equity Holdings, LP ("PEH"). SMC Private Equity Holdings G.P., LLC, a Delaware limited liability company ("PEH GP"), is the general partner of PEH, and SMC GP is the managing member of PEH GP. Mr. Steffens and Mr. Ho each serves as a managing member of SMC GP. Each of PEH GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by PEH. PEH holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, PEH GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 435,136 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 6

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 3,726,732

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F10 · shares: Includes 22,960 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 689,267 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 5

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 3,291,596

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F9 · shares: Includes 57,275 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 739,033 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 4

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 2,602,329

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F8 · shares: Includes 64,257 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 630,209 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 3

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 1,863,296

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F7 · shares: Includes 41,641 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 338,959 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 2

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 1,233,087

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F6 · shares: Includes 21,151 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
October 12, 2021 Filed Oct 14, 2021 16:11 UTC IsoPlexis Corp ISO · Entity 115290 ConversionCommon Stock 894,128 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-126233 · tm2129897-1_4seq1.xml · nonDerivative · entry 1

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Growth Capital II GP, LLC · CIK 0001876180 · 10% owner

SMC Growth Capital Partners II, LP · CIK 0001614059 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Holdings II G.P., LLC · CIK 0001876065 · 10% owner

SMC Holdings II, LP · CIK 0001545867 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMC Growth Capital Partners II, LP

Disclosed balance after: 894,128

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

F1 · shares: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F5 · shares: Includes 33,296 shares of Common Stock issued per dividends accrued to but not including October 12, 2021.

F1 · price: Shares of Series A Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series A-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series B-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer, Series C Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer and Series C-2 Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (collectively, the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · ownership.nature: The securities are directly held by SMC Growth Capital Partners II, LP ("GCII"). SMC Growth Capital II GP, LLC, a Delaware limited liability company ("GCII GP"), is the general partner of GCII, and Spring Mountain Capital G.P., LLC, a Delaware limited liability company ("SMC GP"), is the managing member of GCII GP. John L. Steffens and Gregory P. Ho each serves as a managing member of SMC GP. Each of GCII GP, SMC GP, Mr. Steffens and Mr. Ho may be deemed to indirectly hold the securities held by GCII. GCII holds voting and dispositive power over the securities it holds. Each of Mr. Steffens, Mr. Ho, GCII GP and SMC GP disclaims beneficial ownership of these securities, except to the extent of their respective pecuniary interests therein.

Read SEC document
August 27, 2020 Filed Aug 31, 2020 18:40 UTC GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 SaleSeries D Convertible Voting Perpetual Preferred Stock · Derivative 5,111.86 $53.15 $271,695.36
Disclosure

SEC source: 0001104659-20-100926 · tm2029949-2_4.xml · derivative · entry 4

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,079 shares

Expires not disclosed

F2 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F5 · shares: Represents shares of Series D Preferred Stock disposed of by the Reporting Persons as follows: 700.28 shares by SMC Co-Investment LP and 4,411.58 shares by SMC PE LP.

F2 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F2 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F2 · derivative.underlying_shares: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F6 · derivative.underlying_shares: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

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August 27, 2020 Filed Aug 31, 2020 18:40 UTC GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 SaleSeries C Convertible Voting Perpetual Preferred Stock · Derivative 3,020.35 $54.26 $163,884.19
Disclosure

SEC source: 0001104659-20-100926 · tm2029949-2_4.xml · derivative · entry 3

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,136 shares

Expires not disclosed

F2 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F4 · shares: Represents shares of Series C Preferred Stock disposed of by the Reporting Persons as follows: 1,476.19 shares by SMC Co-Investment LP, 82.81 shares by Spring Mountain Capital G.P., LLC and 1,461.34 shares by Mr. Steffens.

F2 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F2 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F2 · derivative.underlying_shares: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F6 · derivative.underlying_shares: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

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August 27, 2020 Filed Aug 31, 2020 18:40 UTC GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 SaleSeries B Convertible Voting Perpetual Preferred Stock · Derivative 8,704.44 $81.77 $711,762.06
Disclosure

SEC source: 0001104659-20-100926 · tm2029949-2_4.xml · derivative · entry 2

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 58,030 shares

Expires not disclosed

F2 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F3 · shares: Represents shares of Series B Preferred Stock disposed of by the Reporting Persons as follows: 6,885.52 shares by SMC Co-Investment LP, 97.54 shares by Spring Mountain Capital G.P., LLC and 1,721.38 shares by Mr. Steffens.

F2 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F2 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F2 · derivative.underlying_shares: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock"), Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") and Series D Convertible Voting Perpetual Preferred Stock ("Series D Preferred Stock") was convertible at any time upon request and was initially convertible into shares of common stock on a 1:100 basis. Each such class of stock had no expiration date.

F6 · derivative.underlying_shares: As reported by the Issuer on Form 8-K, on December 12, 2019 the Issuer effected a 1 for 15 reverse stock split. The number of shares of common stock indicated in this Statement reflects the post-split number of shares disposed of. All warrants previously acquired by the Reporting Persons and disclosed in its Form 3 filed on January 9, 2019 expired without any portion being exercised. As a result of the transactions reported herein, the Reporting Persons were completely divested of the shares of Issuer's securities.

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August 27, 2020 Filed Aug 31, 2020 18:40 UTC GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 SaleCommon Stock 62,715 $3.86 $242,079.90
Disclosure

SEC source: 0001104659-20-100926 · tm2029949-2_4.xml · nonDerivative · entry 1

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Represents shares of common stock of Issuer disposed of directly by the Reporting Persons as follows: 33,305 shares by SMC Select Co-Investment Fund I, LP ("SMC Co-Investment LP") and 29,410 shares by SMC Private Equity Holdings, LP ("SMC PE LP").

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July 31, 2019 Filed Aug 2, 2019 10:22 UTC GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 OtherSeries C Convertible Voting Perpetual Preferred Stock · Derivative 404.3 $0.00 $0.00
Disclosure

SEC source: 0001144204-19-037352 · tv526299_4.xml · derivative · entry 2

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Reserve Fund II Offshore LP · CIK 0001364925 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,020.37

Underlying: Common Stock · 40,430 shares

Expires not disclosed

F1 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date.

F2 · kind: On July 31, 2019, in connection with the wind up and dissolution of Reporting Person SMC Reserve Fund II Offshore, LP ("SMC Offshore"), SMC Offshore distributed in-kind, without consideration (the "SMC Distribution"), all of the securities of the Issuer owned by SMC Offshore as follows: (i) to Reporting Person Spring Mountain Capital G.P., LLC ("SMC GP"), 97.54 shares of Series B Preferred Stock and 82.81 shares of Series C Preferred Stock and (ii) to an unaffiliated third party, 476.25 shares of Series B Preferred Stock and 404.30 shares of Series C Preferred Stock. The disposition to the unaffiliated third party is reported in Table II.

F3 · kind: The disposition to SMC GP is not reported in Table II, as the shares of Series B Preferred Stock and Series C Preferred Stock transferred by SMC Offshore to SMC GP will continue to be beneficially owned by certain of the remaining Reporting Persons due to the relationships set forth in Exhibit 99.1 to the Form 3 filed on January 9, 2019. As a result of the SMC Distribution, SMC Offshore no longer beneficially owns any securities of the Issuer. This Form 4 is an 'exit filing' for SMC Offshore.

F1 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date.

F1 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date.

Read SEC document
July 31, 2019 Filed Aug 2, 2019 10:22 UTC GRESHAM WORLDWIDE, INC. GIGA · Entity 89538 OtherSeries B Convertible Voting Perpetual Preferred Stock · Derivative 476.25 $0.00 $0.00
Disclosure

SEC source: 0001144204-19-037352 · tv526299_4.xml · derivative · entry 1

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

SMC Reserve Fund II Offshore LP · CIK 0001364925 · 10% owner

SMC Private Equity Holdings GP, LLC · CIK 0001763297 · 10% owner

SMC Private Equity Holdings, LP · CIK 0001581493 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,704.44

Underlying: Common Stock · 47,625 shares

Expires not disclosed

F1 · derivative.exercise_price: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date.

F2 · kind: On July 31, 2019, in connection with the wind up and dissolution of Reporting Person SMC Reserve Fund II Offshore, LP ("SMC Offshore"), SMC Offshore distributed in-kind, without consideration (the "SMC Distribution"), all of the securities of the Issuer owned by SMC Offshore as follows: (i) to Reporting Person Spring Mountain Capital G.P., LLC ("SMC GP"), 97.54 shares of Series B Preferred Stock and 82.81 shares of Series C Preferred Stock and (ii) to an unaffiliated third party, 476.25 shares of Series B Preferred Stock and 404.30 shares of Series C Preferred Stock. The disposition to the unaffiliated third party is reported in Table II.

F3 · kind: The disposition to SMC GP is not reported in Table II, as the shares of Series B Preferred Stock and Series C Preferred Stock transferred by SMC Offshore to SMC GP will continue to be beneficially owned by certain of the remaining Reporting Persons due to the relationships set forth in Exhibit 99.1 to the Form 3 filed on January 9, 2019. As a result of the SMC Distribution, SMC Offshore no longer beneficially owns any securities of the Issuer. This Form 4 is an 'exit filing' for SMC Offshore.

F1 · derivative.exercise_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date.

F1 · derivative.expiration_date: Each of the Series B Convertible Voting Perpetual Preferred Stock ("Series B Preferred Stock") and Series C Convertible Voting Perpetual Preferred Stock ("Series C Preferred Stock") is convertible at any time upon request and is initially convertible into shares of common stock on a 1:100 basis. Each such class of stock has no expiration date.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 1,333,333 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 24

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,333,333 shares

Expires 2018-09-28

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 4,000,000 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 23

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000,000 shares

Expires 2020-05-30

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 Sale10% Convertible Preferred Stock · Derivative 213.3333 Not disclosed Strike: $0.40 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 22

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,333,333 shares

Expires not disclosed

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 2,596,575 Not disclosed Strike: $0.20 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 21

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,596,575 shares

Expires 2020-10-21

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 408,333 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 20

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 408,333 shares

Expires 2018-09-28

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 1,225,000 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 19

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,225,000 shares

Expires 2020-05-30

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleSeries C Convertible Preferred Stock · Derivative 51.932 Not disclosed Strike: $0.20 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 18

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,596,600 shares

Expires not disclosed

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F13 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F13 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 Sale10% Convertible Preferred Stock · Derivative 65.3333 Not disclosed Strike: $0.40 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 17

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,633,333 shares

Expires not disclosed

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 2,596,575 Not disclosed Strike: $0.20 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 16

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,596,575 shares

Expires 2020-10-21

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 2,908,332 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 15

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,908,332 shares

Expires 2018-09-28

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

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December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 8,725,000 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 14

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 8,725,000 shares

Expires 2020-05-30

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

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December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleSeries C Convertible Preferred Stock · Derivative 51.932 Not disclosed Strike: $0.20 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 13

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,596,600 shares

Expires not disclosed

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F13 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F13 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

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December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 Sale10% Convertible Preferred Stock · Derivative 465.3333 Not disclosed Strike: $0.40 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 12

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 11,633,332 shares

Expires not disclosed

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.

F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.

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December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 2,499,999 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 11

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,499,999 shares

Expires 2018-09-28

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 7,500,000 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 10

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 7,500,000 shares

Expires 2020-05-30

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

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December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 Sale10% Convertible Preferred Stock · Derivative 399.9999 Not disclosed Strike: $0.40 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 9

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 9,999,999 shares

Expires not disclosed

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.

F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 833,333 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 8

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 833,333 shares

Expires 2018-09-28

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock Warrants (right to buy) · Derivative 2,500,000 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 7

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500,000 shares

Expires 2020-05-30

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 Sale10% Convertible Preferred Stock · Derivative 133.3333 Not disclosed Strike: $0.40 Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 6

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,333,333 shares

Expires not disclosed

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.

F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.

Read SEC document
December 19, 2017 Filed Dec 21, 2017 16:17 UTC AMERICAN POWER GROUP Corp APGI · Entity 170990 SaleCommon Stock 1,740,585 Not disclosed Not disclosed
Disclosure

SEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 5

Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner

SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner

SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner

Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner

Spring Mountain Capital, LP · CIK 0001549456 · 10% owner

SMC Employees Partnership · CIK 0001657291 · 10% owner

Steffens John · CIK 0001373619 · 10% owner

Ho Gregory P. · CIK 0001549584 · 10% owner

SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F15 · kind: SMC Reserve II sold 1,740,585 shares of Common Stock.

F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.

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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.