Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adamas Pharmaceuticals IncADMS · Entity 133085 | 10% owner | September 14, 2016 | September 16, 2016 |
| Personalis, Inc.PSNL · Entity 4572 | 10% owner | June 24, 2019 | June 26, 2019 |
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.
Adamas Pharmaceuticals Inc
Report date September 14, 2016 · Filed September 16, 2016
Jointly reported with MDV IX LP, Seventh MDV Partners, L.L.C., Ninth MDV Partners, L.L.C., SCHOENDORF NANCY J, MDV ENF VII (A), L.P., MDV ENF VII (B), L.P., MDV VII Leaders' Fund, L.P., MDV VII LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectMDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP | 4,031,804 |
Last balance in matching sequence
After 2016-09-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2016-09-14 · Purchase · Acquired 54,537 · Balance 4,023,364 F1: Price reflected is the weighted-average purchase price for shares purchased. The range of the purchase prices for the transaction was $16.22 and $16.50 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Row 2 · 2016-09-15 · Purchase · Acquired 200 · Balance 4,023,564 F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Row 3 · 2016-09-16 · Purchase · Acquired 8,240 · Balance 4,031,804 F3: Price reflected is the weighted-average purchase price for shares purchased. The range of the purchase prices for the transaction was $16.52 and $17.00 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectMDV VII, L.P. | 265,150 |
Reported balance
Holding disclosure · report date 2016-09-14 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 265,150 F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectMDV ENF VII (A), L.P. | 6,043 |
Reported balance
Holding disclosure · report date 2016-09-14 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 6,043 F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectMDV ENF VII (B), L.P. | 3,146 |
Reported balance
Holding disclosure · report date 2016-09-14 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 3,146 F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectMDV VII Leaders' Fund, L.P. | 25,661 |
Reported balance
Holding disclosure · report date 2016-09-14 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 25,661 F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. |
| Common StockSEC Table I · non-derivative | IndirectMDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. | 287,992 |
Reported balance
Holding disclosure · report date 2016-09-14 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 287,992 F4: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX. Each Reporting Person disclaims beneficial ownership of the shares held by MDV IX except to the extent of any pecuniary interest therein. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. |
Filing footnotes · ownership attribution and instrument terms
F1: Price reflected is the weighted-average purchase price for shares purchased. The range of the purchase prices for the transaction was $16.22 and $16.50 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
F2: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports.
F3: Price reflected is the weighted-average purchase price for shares purchased. The range of the purchase prices for the transaction was $16.52 and $17.00 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
F4: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX. Each Reporting Person disclaims beneficial ownership of the shares held by MDV IX except to the extent of any pecuniary interest therein. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports.
Personalis, Inc.
Report date June 24, 2019 · Filed June 26, 2019
Jointly reported with Ninth MDV Partners, L.L.C., MDV IX LP, MDV ENF IX LP, Ericson William W.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,288,805 |
Reported balance
After 2019-06-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-24 · Conversion · Acquired 2,288,805 · Balance 2,288,805 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,396,617 |
Reported balance
After 2019-06-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-06-24 · Conversion · Acquired 107,812 · Balance 2,396,617 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,458,209 |
Reported balance
After 2019-06-24 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-06-24 · Conversion · Acquired 61,592 · Balance 2,458,209 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 18,739 |
Reported balance
After 2019-06-24 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-06-24 · Conversion · Acquired 18,739 · Balance 18,739 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 19,621 |
Reported balance
After 2019-06-24 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-06-24 · Conversion · Acquired 882 · Balance 19,621 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 20,125 |
Reported balance
After 2019-06-24 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-06-24 · Conversion · Acquired 504 · Balance 20,125 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 127,504 |
Reported balance
After 2019-06-24 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-06-24 · Conversion · Acquired 127,504 · Balance 127,504 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F4: These shares are held directly by MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. ("IX Funds"). Ninth MDV is the general partner of IX Funds. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by IX Funds. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-06-24 · Conversion · Disposed 2,288,805 · Balance 0 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-06-24 · Conversion · Disposed 18,739 · Balance 0 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-06-24 · Conversion · Disposed 107,812 · Balance 0 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-06-24 · Conversion · Disposed 882 · Balance 0 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-06-24 · Conversion · Disposed 61,592 · Balance 0 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2019-06-24 · Conversion · Disposed 504 · Balance 0 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2019-06-24 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2019-06-24 · Conversion · Disposed 127,504 · Balance 0 F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F4: These shares are held directly by MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. ("IX Funds"). Ninth MDV is the general partner of IX Funds. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by IX Funds. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date.
F2: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein.
F3: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein.
F4: These shares are held directly by MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. ("IX Funds"). Ninth MDV is the general partner of IX Funds. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by IX Funds. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Coupa Software Inc
Report date July 12, 2017 · Filed July 14, 2017
Jointly reported with MDV IX LP, Ninth MDV Partners, L.L.C., Ericson William W.
Section 16 reporting ended · disclosed 2017-07-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectMDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. | 3,986,700 |
Reported balance
After 2017-07-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-07-12 · Sale · Disposed 1,662,000 · Balance 3,986,700 F1: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein.
PROOFPOINT INC
Report date August 31, 2021 · Filed August 31, 2021
Section 16 reporting ended · disclosed 2021-08-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 1
1 source rowRow 1 · 2021-08-31 · Disposition to issuer · Disposed 11,217 · Balance 0 F1: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash. F2: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F3: Includes 1,397 Unvested Company RSUs. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2021-08-31 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-08-31 · Disposition to issuer · Disposed 1,699 · Balance 0 F1: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash. F4: Held by the Feiber-Buhr Family Trust, of which the Reporting Person and his spouse are the sole trustees. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.53 · Expires 2023-06-10 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-08-31 · Disposition to issuer · Disposed 8,365 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.53 · Expires 2023-06-10 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-08-31 · Disposition to issuer · Disposed 2,783 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.03 · Expires 2024-06-09 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-08-31 · Disposition to issuer · Disposed 8,847 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.03 · Expires 2024-06-09 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-08-31 · Disposition to issuer · Disposed 2,157 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $63.67 · Expires 2025-06-30 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-08-31 · Disposition to issuer · Disposed 5,151 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $63.67 · Expires 2025-06-30 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-08-31 · Disposition to issuer · Disposed 1,256 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $63.09 · Expires 2026-06-30 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-08-31 · Disposition to issuer · Disposed 5,940 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $63.09 · Expires 2026-06-30 | Direct | 0 |
Reported balance
After 2021-08-31 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2021-08-31 · Disposition to issuer · Disposed 1,449 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6: The stock option is fully vested. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash.
F2: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates.
F3: Includes 1,397 Unvested Company RSUs.
F4: Held by the Feiber-Buhr Family Trust, of which the Reporting Person and his spouse are the sole trustees.
F5: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option.
F6: The stock option is fully vested.
Rocket Fuel Inc.
Report date September 06, 2017 · Filed September 06, 2017
Jointly reported with Ninth MDV Partners, L.L.C., MDV IX LP
Section 16 reporting ended · disclosed 2017-09-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2017-09-06 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-09-06 · Disposition to issuer · Disposed 9,295,955 · Balance 0 F1: Each outstanding share of the common stock of the Issuer was converted into the right to receive $2.60 per share in cash, as described in the Merger Agreement. F2: Shares directly held by MDV IX, L.P. ("MDV IX"), as nominee for MDV IX and MDV ENF IX, L.P. Ninth MDV Partners, L.L.C. ("Ninth MDV") is the General Partner of MDV IX. William Ericson, a director of the Issuer, and Jonathan Feiber are Managing Members of Ninth MDV. Each of William Ericson, Jonathan Feiber, and Ninth MDV may be deemed to share voting and dispositive power over the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. William Ericson is filing a separate Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: Each outstanding share of the common stock of the Issuer was converted into the right to receive $2.60 per share in cash, as described in the Merger Agreement.
F2: Shares directly held by MDV IX, L.P. ("MDV IX"), as nominee for MDV IX and MDV ENF IX, L.P. Ninth MDV Partners, L.L.C. ("Ninth MDV") is the General Partner of MDV IX. William Ericson, a director of the Issuer, and Jonathan Feiber are Managing Members of Ninth MDV. Each of William Ericson, Jonathan Feiber, and Ninth MDV may be deemed to share voting and dispositive power over the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. William Ericson is filing a separate Form 4.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 1,449 | Not disclosed Strike: $63.09 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 10 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,449 shares Expires 2026-06-30 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 5,940 | Not disclosed Strike: $63.09 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 9 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,940 shares Expires 2026-06-30 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 1,256 | Not disclosed Strike: $63.67 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 8 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,256 shares Expires 2025-06-30 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 5,151 | Not disclosed Strike: $63.67 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 7 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,151 shares Expires 2025-06-30 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 2,157 | Not disclosed Strike: $33.03 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 6 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,157 shares Expires 2024-06-09 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 8,847 | Not disclosed Strike: $33.03 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 5 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,847 shares Expires 2024-06-09 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 2,783 | Not disclosed Strike: $22.53 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 4 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,783 shares Expires 2023-06-10 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerNon-qualified Stock Option (right to buy) · Derivative | 8,365 | Not disclosed Strike: $22.53 | Not disclosed |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · derivative · entry 3 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,365 shares Expires 2023-06-10 F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each vested Company stock option was cancelled and converted into the right to receive an amount in cash equal to (i) the difference between $176.00 and the exercise price of such stock option multiplied by (ii) the number of shares subject to such stock option. F6 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerCommon Stock | 1,699 | $176.00 | $299,024.00 |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · nonDerivative · entry 2 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash. F4 · ownership.nature: Held by the Feiber-Buhr Family Trust, of which the Reporting Person and his spouse are the sole trustees. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 14:04 UTC | PROOFPOINT INC PFPT · Entity 135877 | Disposition to issuerCommon Stock | 11,217 | $176.00 | $1,974,192.00 |
DisclosureSEC source: 0001209191-21-054028 · doc4.xml · nonDerivative · entry 1 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On April 25, 2021, Proofpoint, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Project Kafka Parent, LLC ("Parent") and Project Kafka Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub was merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive $176.00 in cash. F2 · shares: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each unvested and outstanding restricted stock unit (each, an "Unvested Company RSU") was cancelled and converted into the right to receive an amount in cash equal to the product obtained by multiplying (x) the total number of shares of the Company's common stock underlying such Unvested Company RSU, by (y) $176.00, in each case subject to the same vesting schedule, termination terms and other conditions as such Unvested Company RSU was subject to immediately prior to the Effective Time, subject to the holder's continued service with the Parent or its affiliates. F3 · shares: Includes 1,397 Unvested Company RSUs. Read SEC document |
| July 08, 2021 Filed Jul 12, 2021 18:30 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 346 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-046331 · doc4.xml · nonDerivative · entry 2 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,217 F2 · shares: Represents an award of RSUs. The RSUs vested as to 1/4th of the total number of shares on July 8, 2021. An additional 1/4th of the total number of shares will vest on each of September 30, 2021, December 31, 2021 and March 31, 2022. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| July 08, 2021 Filed Jul 12, 2021 18:30 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 1,137 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-046331 · doc4.xml · nonDerivative · entry 1 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,871 F1 · shares: Represents an award of restricted stock units ("RSUs"). 100% of the RSUs will vest on July 8, 2022. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 16:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 568 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042854 · doc4.xml · nonDerivative · entry 2 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,734 F2 · shares: Represents an award of RSUs. The RSUs vested as to 1/4th of the total number of shares on July 15, 2020. An additional 1/4th of the total number of shares will vest on each of September 30, 2020, December 31, 2020 and March 31, 2021. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| July 15, 2020 Filed Jul 17, 2020 16:31 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 1,863 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-042854 · doc4.xml · nonDerivative · entry 1 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,166 F1 · shares: Represents an award of restricted stock units ("RSUs"). 100% of the RSUs will vest on June 12, 2021. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 18:40 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 562 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-014325 · doc1.xml · nonDerivative · entry 2 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,303 F2 · shares: Represents an award of RSUs. The RSUs vested as to 1/4th of the total number of shares on June 30, 2019. An additional 1/4th of the total number of shares will vest on each of September 30, 2019, December 31, 2019 and March 31, 2020. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 18:40 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 1,844 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-014325 · doc1.xml · nonDerivative · entry 1 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,741 F1 · shares: Represents an award of restricted stock units ("RSUs"). 100% of the RSUs will vest on June 6, 2020. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionSeries C Convertible Preferred Stock · Derivative | 127,504 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · derivative · entry 14 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 127,504 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: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F4 · ownership.nature: These shares are held directly by MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. ("IX Funds"). Ninth MDV is the general partner of IX Funds. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by IX Funds. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionSeries C Convertible Preferred Stock · Derivative | 504 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · derivative · entry 13 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 504 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: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3 · ownership.nature: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionSeries C Convertible Preferred Stock · Derivative | 61,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · derivative · entry 12 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 61,592 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: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2 · ownership.nature: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionSeries B Convertible Preferred Stock · Derivative | 882 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · derivative · entry 11 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 882 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: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3 · ownership.nature: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionSeries B Convertible Preferred Stock · Derivative | 107,812 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · derivative · entry 10 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 107,812 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: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2 · ownership.nature: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionSeries A Convertible Preferred Stock · Derivative | 18,739 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · derivative · entry 9 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 18,739 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: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3 · ownership.nature: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionSeries A Convertible Preferred Stock · Derivative | 2,288,805 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · derivative · entry 8 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,288,805 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: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.exercise_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2 · ownership.nature: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionCommon Stock | 127,504 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · nonDerivative · entry 7 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 127,504 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F4 · ownership.nature: These shares are held directly by MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. ("IX Funds"). Ninth MDV is the general partner of IX Funds. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by IX Funds. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionCommon Stock | 504 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · nonDerivative · entry 6 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 20,125 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3 · ownership.nature: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionCommon Stock | 882 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · nonDerivative · entry 5 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 19,621 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3 · ownership.nature: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionCommon Stock | 18,739 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · nonDerivative · entry 4 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 18,739 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F3 · ownership.nature: These shares are held directly by MDV ENF IX, L.P. ("ENF IX"). Ninth MDV is the general partner of ENF IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by ENF IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionCommon Stock | 61,592 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · nonDerivative · entry 3 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,458,209 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2 · ownership.nature: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionCommon Stock | 107,812 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · nonDerivative · entry 2 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,396,617 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2 · ownership.nature: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 16:54 UTC | Personalis, Inc. PSNL · Entity 4572 | ConversionCommon Stock | 2,288,805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-039125 · doc4.xml · nonDerivative · entry 1 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner MDV ENF IX LP · CIK 0001435083 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,288,805 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately upon the closing of the Issuer's initial public offering and have no expiration date. F2 · ownership.nature: These shares are held directly by MDV IX, L.P. ("MDV IX"). Ninth MDV Partners, L.L.C. ("Ninth MDV") is the general partner of MDV IX. Jonathan Feiber and William Ericson are the managing members of Ninth MDV and either are deemed to have sole voting and dispositive power with respect to the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 19:16 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 434 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-032825 · doc1.xml · nonDerivative · entry 2 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,897 F2 · shares: Represents an award of RSUs. The RSUs vested as to 1/4th of the total number of shares on July 16, 2018. An additional 1/4th of the total number of shares will vest on each of September 30, 2018, December 31, 2018 and March 31, 2019. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 19:16 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 1,687 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-032825 · doc1.xml · nonDerivative · entry 1 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,463 F1 · shares: Represents an award of restricted stock units ("RSUs"). 100% of the RSUs will vest on May 30, 2019. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| December 11, 2017 Filed Jan 9, 2018 17:36 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 42 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-001488 · doc1.xml · nonDerivative · entry 1 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,776 F1 · shares: Represents an award of restricted stock units ("RSUs"). 50% of the RSUs will vest on December 31, 2017 and the remaining 50% will vest on March 31, 2018. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| September 06, 2017 Filed Sep 6, 2017 14:29 UTC | Rocket Fuel Inc. FUEL · Entity 173349 | Disposition to issuerCommon Stock | 9,295,955 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-051548 · doc4.xml · nonDerivative · entry 1 Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner MDV IX LP · CIK 0001410787 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: Each outstanding share of the common stock of the Issuer was converted into the right to receive $2.60 per share in cash, as described in the Merger Agreement. F2 · ownership.nature: Shares directly held by MDV IX, L.P. ("MDV IX"), as nominee for MDV IX and MDV ENF IX, L.P. Ninth MDV Partners, L.L.C. ("Ninth MDV") is the General Partner of MDV IX. William Ericson, a director of the Issuer, and Jonathan Feiber are Managing Members of Ninth MDV. Each of William Ericson, Jonathan Feiber, and Ninth MDV may be deemed to share voting and dispositive power over the shares held by MDV IX. Each disclaims beneficial ownership of these securities except to the extent of his or its respective pecuniary interest therein. William Ericson is filing a separate Form 4. Read SEC document |
| July 12, 2017 Filed Jul 14, 2017 17:27 UTC | Coupa Software Inc COUP · Entity 116314 | SaleCommon Stock | 1,662,000 | $31.25 | $51,937,500.00 |
DisclosureSEC source: 0001209191-17-045231 · doc4.xml · nonDerivative · entry 1 MDV IX LP · CIK 0001410787 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. Disclosed balance after: 3,986,700 F1 · ownership.nature: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 18:22 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 493 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025029 · doc1.xml · nonDerivative · entry 2 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,734 F2 · shares: Represents an award of RSUs. The RSUs will vest as to 1/4th of the total number of shares on June 30, 2017 and an additional 1/4th of the total number of shares on each quarterly anniversary thereafter. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 18:22 UTC | PROOFPOINT INC PFPT · Entity 135877 | GrantCommon Stock | 2,241 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-025029 · doc1.xml · nonDerivative · entry 1 FEIBER JONATHAN D · CIK 0001027621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,241 F1 · shares: Represents an award of restricted stock units ("RSUs"). 100% of the RSUs will vest on June 1, 2018. Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. Read SEC document |
| April 18, 2017 Filed Apr 20, 2017 16:51 UTC | Coupa Software Inc COUP · Entity 116314 | SaleCommon Stock | 1,000,000 | $24.05 | $24,050,000.00 |
DisclosureSEC source: 0001209191-17-027727 · doc4.xml · nonDerivative · entry 1 MDV IX LP · CIK 0001410787 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. Disclosed balance after: 5,648,700 F1 · price: These shares were sold by the reporting person as a selling stockholder pursuant to an underwritten public offering by the Issuer. The offering closed on April 18, 2017. The reported sale price reflects the price at which the reporting person sold shares to the underwriters. F2 · ownership.nature: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein. Read SEC document |
| October 12, 2016 Filed Oct 14, 2016 14:34 UTC | Coupa Software Inc COUP · Entity 116314 | ConversionSeries F Convertible Preferred Stock · Derivative | 86,526 | Not disclosed Strike: $8.09 | Not disclosed |
DisclosureSEC source: 0001209191-16-145895 · doc4.xml · derivative · entry 4 MDV IX LP · CIK 0001410787 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 86,526 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 · deemedExecutionDate: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · price: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · derivative.exercise_date: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · derivative.expiration_date: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F2 · ownership.nature: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein. Read SEC document |
| October 12, 2016 Filed Oct 14, 2016 14:34 UTC | Coupa Software Inc COUP · Entity 116314 | ConversionSeries E Convertible Preferred Stock · Derivative | 1,015,725 | Not disclosed Strike: $3.11 | Not disclosed |
DisclosureSEC source: 0001209191-16-145895 · doc4.xml · derivative · entry 3 MDV IX LP · CIK 0001410787 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,015,725 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 · deemedExecutionDate: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · price: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · derivative.exercise_date: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · derivative.expiration_date: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F2 · ownership.nature: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein. Read SEC document |
| October 12, 2016 Filed Oct 14, 2016 14:34 UTC | Coupa Software Inc COUP · Entity 116314 | ConversionSeries D Convertible Preferred Stock · Derivative | 5,546,449 | Not disclosed Strike: $1.35 | Not disclosed |
DisclosureSEC source: 0001209191-16-145895 · doc4.xml · derivative · entry 2 MDV IX LP · CIK 0001410787 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,546,449 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 · deemedExecutionDate: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · price: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · derivative.exercise_date: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F1 · derivative.expiration_date: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F2 · ownership.nature: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein. Read SEC document |
| October 12, 2016 Filed Oct 14, 2016 14:34 UTC | Coupa Software Inc COUP · Entity 116314 | ConversionCommon Stock | 6,648,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-16-145895 · doc4.xml · nonDerivative · entry 1 MDV IX LP · CIK 0001410787 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner Ericson William W. · CIK 0001503381 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV IX, L.P., as nominee for MDV IX, L.P., and MDV ENF IX, L.P. Disclosed balance after: 6,648,700 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. The exercisability date and expiration date are not relevant to the conversion of these securities. F2 · ownership.nature: Ninth MDV Partners, L.L.C. is the general partner of MDV IX, L.P., as nominee for MDV IX, L.P. and MDV ENF IX, L.P. (collectively, "MDV IX"). William Ericson ("Ericson") and Jonathan Feiber ("Feiber") are Managing Members of Ninth MDV Partners, L.L.C. Ericson and Feiber may be deemed to share voting and dispositive power over the shares held by MDV IX and disclaim beneficial ownership of the shares held by MDV IX except to the extent of their pecuniary interest therein. Read SEC document |
| September 16, 2016 Filed Sep 16, 2016 20:23 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 8,240 | $16.81 | $138,497.10 |
DisclosureSEC source: 0001209191-16-141889 · doc4.xml · nonDerivative · entry 3 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 4,031,804 F3 · price: Price reflected is the weighted-average purchase price for shares purchased. The range of the purchase prices for the transaction was $16.52 and $17.00 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
| September 15, 2016 Filed Sep 16, 2016 20:23 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 200 | $16.50 | $3,300.00 |
DisclosureSEC source: 0001209191-16-141889 · doc4.xml · nonDerivative · entry 2 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 4,023,564 F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
| September 14, 2016 Filed Sep 16, 2016 20:23 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 54,537 | $16.43 | $895,786.59 |
DisclosureSEC source: 0001209191-16-141889 · doc4.xml · nonDerivative · entry 1 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 4,023,364 F1 · price: Price reflected is the weighted-average purchase price for shares purchased. The range of the purchase prices for the transaction was $16.22 and $16.50 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
| September 13, 2016 Filed Sep 14, 2016 19:02 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 62,034 | $15.56 | $964,994.70 |
DisclosureSEC source: 0001209191-16-141471 · doc4.xml · nonDerivative · entry 2 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 3,968,827 F3 · price: Price reflected is the weighted-average sale price for shares sold. The range of the sale prices for the transaction was $15.25 and $16.00 per share. The Reporting Persons undertake to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 19:02 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 22,342 | $15.65 | $349,734.97 |
DisclosureSEC source: 0001209191-16-141471 · doc4.xml · nonDerivative · entry 1 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 3,906,793 F1 · price: Price reflected is the weighted-average sale price for shares sold. The range of the sale prices for the transaction was $15.26 and $15.75 per share. The Reporting Persons undertake to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 19:25 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 60,846 | $15.68 | $954,065.28 |
DisclosureSEC source: 0001209191-16-140846 · doc4.xml · nonDerivative · entry 1 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 3,884,451 F1 · price: Price reflected is the weighted-average sale price for shares sold. The range of the sale prices for the transaction was $15.25 and $15.81 per share. The Reporting Persons undertake to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
| September 06, 2016 Filed Sep 7, 2016 20:39 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 7,200 | $15.00 | $107,979.84 |
DisclosureSEC source: 0001209191-16-140473 · doc4.xml · nonDerivative · entry 2 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 3,823,605 F3 · price: Price reflected is the weighted-average sale price for shares sold. The range of the sale prices for the transaction was $14.70 and $15.23 per share. The Reporting Persons undertake to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 20:39 UTC | Adamas Pharmaceuticals Inc ADMS · Entity 133085 | PurchaseCommon Stock | 43,719 | $14.75 | $644,920.83 |
DisclosureSEC source: 0001209191-16-140473 · doc4.xml · nonDerivative · entry 1 MDV IX LP · CIK 0001410787 · 10% owner Seventh MDV Partners, L.L.C. · CIK 0001564546 · 10% owner Ninth MDV Partners, L.L.C. · CIK 0001573991 · 10% owner FEIBER JONATHAN D · CIK 0001027621 · 10% owner SCHOENDORF NANCY J · CIK 0001250354 · 10% owner MDV ENF VII (A), L.P. · CIK 0001605837 · 10% owner MDV ENF VII (B), L.P. · CIK 0001605838 · 10% owner MDV VII Leaders' Fund, L.P. · CIK 0001605840 · 10% owner MDV VII LP · CIK 0001129541 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · MDV VII LP, nom for MDV VII LP, MDV VII Leaders' Fund LP, MDV ENF VII (A) LP, and MDV ENF VII (B) LP Disclosed balance after: 3,816,405 F1 · price: Price reflected is the weighted-average sale price for shares sold. The range of the sale prices for the transaction was $14.54 and $15.00 per share. The Reporting Persons undertake to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Seventh MDV Partners, L.L.C. is the general partner of (i) MDV VII, L.P., as nominee for MDV VII, L.P., MDV ENF VII(A), L.P., MDV ENF VII(B), L.P., and MDV VII Leaders' Fund, L.P., (ii) MDV VII, L.P., (iii) MDV ENF VII(A), L.P., (iv) MDV ENF VII(B), L.P., and (v) MDV VII Leaders' Fund, L.P. (collectively, "MDV VII"). Feiber and Nancy Schoendorf ("Schoendorf") are Managing Members of Seventh MDV Partners, L.L.C. Feiber and Schoendorf may be deemed to share voting and dispositive power over the shares held by MDV VII. Each Reporting Person disclaims beneficial ownership of the shares held by MDV VII except to the extent of any pecuniary interest therein. Ericson, a general partner with Mohr Davidow Ventures, may be deemed to indirectly beneficially own the shares affiliated with MDV VII. Ericson is a director of the Issuer and, accordingly, files separate Section 16 reports. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.