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person · Reporting owner

WHITE JAMES N

Disclosed activity across 7 companies

Tapewire entity
15769
SEC CIK
0001201720

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Everpure, Inc.PSTG · Entity 314010% ownerJanuary 31, 2018February 23, 2018
Forty Seven, Inc.FTSV · Entity 1603510% ownerJuly 02, 2018July 03, 2018
Mattersight CorpMATR · Entity 16410710% ownerMay 31, 2017June 02, 2017
Snowflake Inc.SNOW · Entity 242510% ownerSeptember 18, 2020September 22, 2020
Venus Concept Inc.HAIR · Entity 5530410% ownerOctober 16, 2017October 18, 2017

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.

Everpure, Inc.

Report date January 31, 2018 · Filed February 23, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy Child (AEW)0 Last balance in matching sequence After 2017-09-11 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2017-03-16 · Gift · Disposed 3,600 · Balance 1,200

F1: Gift without consideration.

F2: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

Row 2 · 2017-09-11 · Gift · Disposed 1,200 · Balance 0

F1: Gift without consideration.

F2: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

Class A Common StockSEC Table I · non-derivativeIndirectBy Child (BSW)4,900 Reported balance After 2017-03-16 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2017-03-16 · Gift · Acquired 1,200 · Balance 4,900

F1: Gift without consideration.

F2: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

Class A Common StockSEC Table I · non-derivativeIndirectBy Child (BTW)4,530 Reported balance After 2017-03-16 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2017-03-16 · Gift · Acquired 1,200 · Balance 4,530

F1: Gift without consideration.

F2: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

Class A Common StockSEC Table I · non-derivativeIndirectBy Child (WOW)5,400 Reported balance After 2017-03-16 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2017-03-16 · Gift · Acquired 1,200 · Balance 5,400

F1: Gift without consideration.

F2: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

Class A Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (ROSE)50,000 Reported balance After 2018-01-01 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 6 · 2018-01-01 · Gift · Disposed 0 · Balance 50,000

F3: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.

F4: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Trust (Trustees)1,200 Reported balance After 2017-09-11 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 7 · 2017-09-11 · Gift · Acquired 1,200 · Balance 1,200

F1: Gift without consideration.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (ROSE)490,766 Reported balance After 2018-01-01 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2018-01-01 · Gift · Disposed 0 · Balance 490,766

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F3: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.

F4: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Trust (Trustees)1,089,735 Reported balance After 2017-12-20 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2017-12-20 · Gift · Disposed 271,638 · Balance 1,089,735

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F1: Gift without consideration.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityDirect70,986 Reported balance Holding disclosure · report date 2018-01-31 · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · Balance 70,986

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Children197,730 Reported balance Holding disclosure · report date 2018-01-31 · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · Balance 197,730

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F2: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Irrevocable Trust (ST)14,420 Reported balance Holding disclosure · report date 2018-01-31 · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · Balance 14,420

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F7: Shares held by a trust for the benefit of the reporting person of which the reporting person is the sole trustee.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Irrevocable Trust (WCT)154,498 Reported balance Holding disclosure · report date 2018-01-31 · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · Balance 154,498

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F8: Shares held by an irrevocable trust for the benefit of the reporting person's children, of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Ltd Liability Company (SHA)1,024,538 Reported balance Holding disclosure · report date 2018-01-31 · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · Balance 1,024,538

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F9: Shares held by Sutter Hill Associates, LLC ("SHA"). Sutter Hill Ventures, a California Limited Partnership ("SHV") has voting and dispositive power over the shares held by SHA, and the reporting person is a trustee of a trust which is a member of SHA. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Ltd Liability Company (SHM)77,100 Reported balance Holding disclosure · report date 2018-01-31 · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · Balance 77,100

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F9: Shares held by Sutter Hill Associates, LLC ("SHA"). Sutter Hill Ventures, a California Limited Partnership ("SHV") has voting and dispositive power over the shares held by SHA, and the reporting person is a trustee of a trust which is a member of SHA. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV As Nominee)106,250 Reported balance Holding disclosure · report date 2018-01-31 · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · Balance 106,250

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F10: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV)17,102,128 Reported balance Holding disclosure · report date 2018-01-31 · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · Balance 17,102,128

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F11: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Gift without consideration.

F2: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

F3: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.

F4: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F6: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F7: Shares held by a trust for the benefit of the reporting person of which the reporting person is the sole trustee.

F8: Shares held by an irrevocable trust for the benefit of the reporting person's children, of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

F9: Shares held by Sutter Hill Associates, LLC ("SHA"). Sutter Hill Ventures, a California Limited Partnership ("SHV") has voting and dispositive power over the shares held by SHA, and the reporting person is a trustee of a trust which is a member of SHA. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F10: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F11: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Forty Seven, Inc.

Report date July 02, 2018 · Filed July 03, 2018

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect4,516 Reported balance After 2018-07-02 transaction · row 1
1 source row

Row 1 · 2018-07-02 · Conversion · Acquired 4,516 · Balance 4,516

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Common StockSEC Table I · non-derivativeIndirectBy Irrevocable Trust (ST)5,161 Reported balance After 2018-07-02 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2018-07-02 · Conversion · Acquired 5,161 · Balance 5,161

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F2: Shares held by a trust for the benefit of the reporting person of which the reporting person is the sole trustee.

Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (ROSE)112,419 Last balance in matching sequence After 2018-07-02 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 3 · 2018-07-02 · Conversion · Acquired 40,477 · Balance 40,477

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 4 · 2018-07-02 · Conversion · Acquired 38,173 · Balance 78,650

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 5 · 2018-07-02 · Conversion · Acquired 33,769 · Balance 112,419

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (SHV)2,906,372 Last balance in matching sequence After 2018-07-02 transaction · row 9 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 6 · 2018-07-02 · Conversion · Acquired 1,052,146 · Balance 1,052,146

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 7 · 2018-07-02 · Conversion · Acquired 945,326 · Balance 1,997,472

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 8 · 2018-07-02 · Conversion · Acquired 774,165 · Balance 2,771,637

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 9 · 2018-07-02 · Purchase · Acquired 134,735 · Balance 2,906,372

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Trust37,841 Last balance in matching sequence After 2018-07-02 transaction · row 13 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 10 · 2018-07-02 · Conversion · Acquired 18,295 · Balance 18,295

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 11 · 2018-07-02 · Conversion · Acquired 11,544 · Balance 29,839

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 12 · 2018-07-02 · Purchase · Acquired 7,415 · Balance 37,254

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 13 · 2018-07-02 · Conversion · Acquired 587 · Balance 37,841

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2018-07-02 · Conversion · Disposed 4,516 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityIndirectBy Irrevocable Trust (ST)0 Reported balance After 2018-07-02 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2018-07-02 · Conversion · Disposed 5,161 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F2: Shares held by a trust for the benefit of the reporting person of which the reporting person is the sole trustee.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (ROSE)0 Reported balance After 2018-07-02 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2018-07-02 · Conversion · Disposed 38,173 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A-2 Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (ROSE)0 Reported balance After 2018-07-02 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2018-07-02 · Conversion · Disposed 33,769 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (ROSE)0 Reported balance After 2018-07-02 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2018-07-02 · Conversion · Disposed 40,477 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV)0 Reported balance After 2018-07-02 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2018-07-02 · Conversion · Disposed 1,052,146 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A-2 Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV)0 Reported balance After 2018-07-02 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2018-07-02 · Conversion · Disposed 774,165 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV)0 Reported balance After 2018-07-02 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2018-07-02 · Conversion · Disposed 945,326 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityIndirectBy Trust0 Reported balance After 2018-07-02 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2018-07-02 · Conversion · Disposed 587 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A-2 Preferred StockSEC Table II · derivative / convertible securityIndirectBy Trust0 Reported balance After 2018-07-02 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 23 · 2018-07-02 · Conversion · Disposed 18,295 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Trust0 Reported balance After 2018-07-02 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 24 · 2018-07-02 · Conversion · Disposed 11,544 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F2: Shares held by a trust for the benefit of the reporting person of which the reporting person is the sole trustee.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Mattersight Corp

Report date May 31, 2017 · Filed June 02, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (SHV)1,056,194 Last balance in matching sequence After 2017-06-01 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2017-05-31 · Other · Disposed 271,391 · Balance 852,651

F1: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation").

F2: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 2 · 2017-06-01 · Purchase · Acquired 203,543 · Balance 1,056,194

F3: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.

F2: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Trust (Trustees)184,239 Reported balance After 2017-06-01 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2017-06-01 · Purchase · Acquired 12,124 · Balance 184,239

F4: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 12,124 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.

Common StockSEC Table I · non-derivativeDirect6,000 Reported balance Holding disclosure · report date 2017-05-31 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 6,000

Common StockSEC Table I · non-derivativeIndirectBy Profit Sharing Plan Trust10,188 Reported balance Holding disclosure · report date 2017-05-31 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 10,188

F6: Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.

Filing footnotes · ownership attribution and instrument terms

F1: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation").

F2: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F3: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.

F4: In connection with the Liquidation, the reporting person entered into an agreement with the Limited Partner to repurchase 12,124 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.

F6: Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.

Snowflake Inc.

Report date September 18, 2020 · Filed September 22, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (EET)44,028 Reported balance After 2020-09-18 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2020-09-18 · Conversion · Acquired 44,028 · Balance 44,028

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (EET)78,822 Reported balance After 2020-09-18 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-09-18 · Conversion · Acquired 34,794 · Balance 78,822

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (EET)100,000 Reported balance After 2020-09-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-09-18 · Conversion · Acquired 21,178 · Balance 100,000

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (EET)0 Reported balance After 2020-09-18 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-09-18 · Conversion · Disposed 44,028 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (EET)0 Reported balance After 2020-09-18 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-09-18 · Conversion · Disposed 21,178 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series Seed Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (EET)0 Reported balance After 2020-09-18 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2020-09-18 · Conversion · Disposed 34,794 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (OET)0 Reported balance After 2020-09-18 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2020-09-18 · Conversion · Disposed 21,177 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series Seed Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (OET)0 Reported balance After 2020-09-18 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2020-09-18 · Conversion · Disposed 34,795 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (SET)44,028 Reported balance After 2020-09-18 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2020-09-18 · Conversion · Acquired 44,028 · Balance 44,028

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (SET)78,822 Reported balance After 2020-09-18 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2020-09-18 · Conversion · Acquired 34,794 · Balance 78,822

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (SET)100,000 Reported balance After 2020-09-18 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2020-09-18 · Conversion · Acquired 21,178 · Balance 100,000

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (SET)0 Reported balance After 2020-09-18 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2020-09-18 · Conversion · Disposed 44,028 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (SET)0 Reported balance After 2020-09-18 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2020-09-18 · Conversion · Disposed 21,178 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series Seed Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (SET)0 Reported balance After 2020-09-18 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2020-09-18 · Conversion · Disposed 34,794 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (TET)44,028 Reported balance After 2020-09-18 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2020-09-18 · Conversion · Acquired 44,028 · Balance 44,028

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (TET)78,823 Reported balance After 2020-09-18 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2020-09-18 · Conversion · Acquired 34,795 · Balance 78,823

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectBy Child (TET)100,000 Reported balance After 2020-09-18 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2020-09-18 · Conversion · Acquired 21,177 · Balance 100,000

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (TET)0 Reported balance After 2020-09-18 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2020-09-18 · Conversion · Disposed 44,028 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (TET)0 Reported balance After 2020-09-18 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2020-09-18 · Conversion · Disposed 21,177 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series Seed Preferred StockSEC Table II · derivative / convertible securityIndirectBy Child (TET)0 Reported balance After 2020-09-18 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2020-09-18 · Conversion · Disposed 34,795 · Balance 0

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F3: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F4: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Venus Concept Inc.

Report date October 16, 2017 · Filed October 18, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Irrevocable Trust (WCT)5,890 Reported balance After 2017-10-16 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-10-16 · Conversion · Acquired 5,890 · Balance 5,890

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F2: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (ROSE)66,218 Last balance in matching sequence After 2017-10-16 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 2 · 2017-10-16 · Conversion · Acquired 23,009 · Balance 23,009

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 3 · 2017-10-16 · Conversion · Acquired 22,953 · Balance 45,962

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 4 · 2017-10-16 · Conversion · Acquired 14,482 · Balance 60,444

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 5 · 2017-10-16 · Conversion · Acquired 5,774 · Balance 66,218

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (SHV)2,079,590 Last balance in matching sequence After 2017-10-16 transaction · row 9 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 6 · 2017-10-16 · Conversion · Acquired 888,690 · Balance 888,690

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 7 · 2017-10-16 · Conversion · Acquired 606,386 · Balance 1,495,076

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 8 · 2017-10-16 · Conversion · Acquired 479,145 · Balance 1,974,221

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 9 · 2017-10-16 · Conversion · Acquired 105,369 · Balance 2,079,590

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Trust41,857 Last balance in matching sequence After 2017-10-16 transaction · row 12 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 10 · 2017-10-16 · Conversion · Acquired 19,589 · Balance 19,589

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 11 · 2017-10-16 · Conversion · Acquired 12,439 · Balance 32,028

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Row 12 · 2017-10-16 · Conversion · Acquired 9,829 · Balance 41,857

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Irrevocable Trust (WCT)0 Reported balance After 2017-10-16 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2017-10-16 · Conversion · Disposed 5,890 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F2: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00IndirectBy Ltd Partnership (ROSE)0 Reported balance After 2017-10-16 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2017-10-16 · Conversion · Disposed 5,774 · Balance 0

F6: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person.

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F7: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (ROSE)0 Reported balance After 2017-10-16 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2017-10-16 · Conversion · Disposed 23,009 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (ROSE)0 Reported balance After 2017-10-16 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2017-10-16 · Conversion · Disposed 14,482 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (ROSE)0 Reported balance After 2017-10-16 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2017-10-16 · Conversion · Disposed 22,953 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00IndirectBy Ltd Partnership (SHV)0 Reported balance After 2017-10-16 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2017-10-16 · Conversion · Disposed 105,369 · Balance 0

F6: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person.

F7: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV)0 Reported balance After 2017-10-16 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2017-10-16 · Conversion · Disposed 479,145 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV)0 Reported balance After 2017-10-16 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2017-10-16 · Conversion · Disposed 606,386 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Ltd Partnership (SHV)0 Reported balance After 2017-10-16 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2017-10-16 · Conversion · Disposed 888,690 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectBy Trust0 Reported balance After 2017-10-16 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2017-10-16 · Conversion · Disposed 9,829 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectBy Trust0 Reported balance After 2017-10-16 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 23 · 2017-10-16 · Conversion · Disposed 12,439 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Trust0 Reported balance After 2017-10-16 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 24 · 2017-10-16 · Conversion · Disposed 19,589 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F2: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F4: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F5: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F6: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person.

F7: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering.

Past disclosures · reporting ended (2)

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

SMARTSHEET INC

Report date January 22, 2025 · Filed January 24, 2025

Section 16 reporting ended · disclosed 2025-01-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy Trust0 Reported balance After 2025-01-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-01-22 · Disposition to issuer · Disposed 176,791 · Balance 0

F1: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated September 24, 2024 (the "Merger Agreement"), by and among Smartsheet Inc. (the "Company"), Einstein Parent, Inc. ("Parent"), and Einstein Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of the Company's Class A common stock, no par value per share ("Common Stock"), was canceled and automatically converted into the right to receive $56.50 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration").

F2: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2025-01-22 transaction · row 2
1 source row

Row 2 · 2025-01-22 · Disposition to issuer · Disposed 33,930 · Balance 0

F3: Pursuant to the Merger Agreement, at the Effective Time, each RSU that vested solely on the basis of time that was outstanding as of immediately prior to the Effective Time and was either (i) held by a non-employee member of the Board of Directors (whether vested or unvested) or (ii) vested in accordance with its terms but not yet settled as of the Effective Time (each, a "Vested RSU") was canceled and converted into the right to receive an amount in cash obtained by multiplying (A) the total number of shares of Common Stock underlying such Vested RSU, by (B) the Merger Consideration, subject to any required withholding of taxes.

F4: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was outstanding as of immediately prior to the Effective Time and that was not a Vested RSU (each, an "Unvested RSU") was canceled and automatically converted into the contingent right to receive an aggregate amount in cash equal to the product obtained by multiplying (i) the total number of shares of Common Stock underlying such Unvested RSU, by (ii) the Merger Consideration (the "Unvested RSU Consideration"), subject to any required withholding of taxes. The Unvested RSU Consideration will vest and become payable on substantially the same terms and conditions that applied to the Unvested RSU immediately prior to the Effective Time.

F5: Represents 4,864 RSUs and 29,006 shares of Class A Common Stock. The RSUs shall fully vest on the earlier of (a) the date of the 2025 annual meeting of the issuer's shareholders and (b) June 18, 2025, subject to continued service through the vesting date. Each RSU represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement.

F6: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.

F1: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated September 24, 2024 (the "Merger Agreement"), by and among Smartsheet Inc. (the "Company"), Einstein Parent, Inc. ("Parent"), and Einstein Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of the Company's Class A common stock, no par value per share ("Common Stock"), was canceled and automatically converted into the right to receive $56.50 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration").

Filing footnotes · ownership attribution and instrument terms

F1: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated September 24, 2024 (the "Merger Agreement"), by and among Smartsheet Inc. (the "Company"), Einstein Parent, Inc. ("Parent"), and Einstein Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the terms of the Merger Agreement, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving the Merger as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of the Company's Class A common stock, no par value per share ("Common Stock"), was canceled and automatically converted into the right to receive $56.50 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration").

F2: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F3: Pursuant to the Merger Agreement, at the Effective Time, each RSU that vested solely on the basis of time that was outstanding as of immediately prior to the Effective Time and was either (i) held by a non-employee member of the Board of Directors (whether vested or unvested) or (ii) vested in accordance with its terms but not yet settled as of the Effective Time (each, a "Vested RSU") was canceled and converted into the right to receive an amount in cash obtained by multiplying (A) the total number of shares of Common Stock underlying such Vested RSU, by (B) the Merger Consideration, subject to any required withholding of taxes.

F4: Pursuant to the Merger Agreement, at the Effective Time, each RSU that was outstanding as of immediately prior to the Effective Time and that was not a Vested RSU (each, an "Unvested RSU") was canceled and automatically converted into the contingent right to receive an aggregate amount in cash equal to the product obtained by multiplying (i) the total number of shares of Common Stock underlying such Unvested RSU, by (ii) the Merger Consideration (the "Unvested RSU Consideration"), subject to any required withholding of taxes. The Unvested RSU Consideration will vest and become payable on substantially the same terms and conditions that applied to the Unvested RSU immediately prior to the Effective Time.

F5: Represents 4,864 RSUs and 29,006 shares of Class A Common Stock. The RSUs shall fully vest on the earlier of (a) the date of the 2025 annual meeting of the issuer's shareholders and (b) June 18, 2025, subject to continued service through the vesting date. Each RSU represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement.

F6: The reporting person shares pecuniary interest in these shares with other parties pursuant to contractual relationships. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.

Yext, Inc.

Report date December 01, 2017 · Filed December 05, 2017

Section 16 reporting ended · disclosed 2017-12-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Ltd Liability Company (SHM)78,140 Reported balance After 2017-12-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2017-12-01 · Other · Acquired 78,140 · Balance 78,140

F1: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV").

F2: Shares held by SHM. SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (SHV As Nominee)107,683 Reported balance After 2017-12-01 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2017-12-01 · Other · Acquired 107,683 · Balance 107,683

F3: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV.

F4: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (SHV)0 Reported balance After 2017-12-01 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2017-12-01 · Other · Disposed 8,614,633 · Balance 0

F5: Effective December 1, 2017, SHV effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares.

F6: Excludes shares of Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV.

F7: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Irrevocable Trust (WCT)57,642 Reported balance Holding disclosure · report date 2017-12-01 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 57,642

F8: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

Common StockSEC Table I · non-derivativeIndirectBy Ltd Partnership (ROSE)355,680 Reported balance Holding disclosure · report date 2017-12-01 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 355,680

F9: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Trust447,401 Reported balance Holding disclosure · report date 2017-12-01 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 447,401

F10: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the receipt of shares in the pro rata distribution described below, for no additional consideration, by Sutter Hill Management Company, L.L.C. ("SHM"), a limited partner of Sutter Hill Ventures, a California Limited Partnership ("SHV").

F2: Shares held by SHM. SHV has voting and dispositive power over the shares held by SHM, and the reporting person is a trustee of a trust which is a member of SHM. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F3: Represents the retention of shares by SHV, in connection with the distribution described below, for the benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV.

F4: Shares held by SHV as a nominee on behalf of, and for the exclusive benefit of a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F5: Effective December 1, 2017, SHV effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares.

F6: Excludes shares of Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV.

F7: Shares held by SHV. The reporting person is a managing director and member of the management committee of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F8: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

F9: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

F10: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Transaction history

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries D Preferred Stock · Derivative 18,205 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 32

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Common Stock · 18,205 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries C Preferred Stock · Derivative 127,726 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 31

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Common Stock · 127,726 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries B Preferred Stock · Derivative 117,865 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 30

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Common Stock · 117,865 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries A Preferred Stock · Derivative 124,284 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 29

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Common Stock · 124,284 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries F Preferred Stock · Derivative 255,372 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 28

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 0

Underlying: Common Stock · 255,372 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries E Preferred Stock · Derivative 282,842 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 27

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 0

Underlying: Common Stock · 282,842 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries D Preferred Stock · Derivative 887,428 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 26

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 0

Underlying: Common Stock · 887,428 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries C Preferred Stock · Derivative 2,975,941 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 25

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 0

Underlying: Common Stock · 2,975,941 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries B Preferred Stock · Derivative 2,654,762 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 24

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 0

Underlying: Common Stock · 2,654,762 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries A Preferred Stock · Derivative 2,799,328 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 23

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 0

Underlying: Common Stock · 2,799,328 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries C Preferred Stock · Derivative 110,173 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 22

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 0

Underlying: Common Stock · 110,173 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries B Preferred Stock · Derivative 113,630 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 21

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 0

Underlying: Common Stock · 113,630 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries A Preferred Stock · Derivative 117,774 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 20

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 0

Underlying: Common Stock · 117,774 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries D Preferred Stock · Derivative 35,022 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 19

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust (WCT)

Disclosed balance after: 0

Underlying: Common Stock · 35,022 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionSeries C Preferred Stock · Derivative 22,620 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · derivative · entry 18

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust (WCT)

Disclosed balance after: 0

Underlying: Common Stock · 22,620 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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 18,205 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 17

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 447,401

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 20,917 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 16

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 429,196

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 23,929 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 15

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 408,279

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 117,865 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 14

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 384,350

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 124,284 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 13

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 266,485

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 127,726 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 12

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 142,201

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

F1 · price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F5 · ownership.nature: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 255,372 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 11

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 10,181,717

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 282,842 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 10

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 9,926,345

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 887,428 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 9

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 9,643,503

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 2,654,762 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 8

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 8,756,075

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 2,799,328 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 7

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 6,101,313

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

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April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 2,975,941 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 6

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (SHV)

Disclosed balance after: 3,301,985

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F4 · ownership.nature: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

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April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 110,173 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 5

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 355,680

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

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April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 113,630 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 4

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 245,507

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

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April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 117,774 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 3

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 131,877

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F3 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 22,620 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 2

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust (WCT)

Disclosed balance after: 57,642

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

F1 · price: The preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

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April 19, 2017 Filed Apr 21, 2017 21:41 UTC Yext, Inc. YEXT · Entity 5265 ConversionCommon Stock 35,022 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-008268 · doc4.xml · nonDerivative · entry 1

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust (WCT)

Disclosed balance after: 35,022

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 preferred stock automatically converted into common stock on a one-to-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.

F2 · ownership.nature: Shares held by an irrevocable trust for the benefit of the reporting person's children of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.

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March 16, 2017 Filed Feb 23, 2018 22:04 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass A Common Stock 1,200 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-004031 · doc5.xml · nonDerivative · entry 5

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Child (WOW)

Disclosed balance after: 5,400

F1 · kind: Gift without consideration.

F2 · ownership.nature: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

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March 16, 2017 Filed Feb 23, 2018 22:04 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass A Common Stock 1,200 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-004031 · doc5.xml · nonDerivative · entry 4

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Child (BTW)

Disclosed balance after: 4,530

F1 · kind: Gift without consideration.

F2 · ownership.nature: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

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March 16, 2017 Filed Feb 23, 2018 22:04 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass A Common Stock 1,200 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-004031 · doc5.xml · nonDerivative · entry 3

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Child (BSW)

Disclosed balance after: 4,900

F1 · kind: Gift without consideration.

F2 · ownership.nature: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

Read SEC document
March 16, 2017 Filed Feb 23, 2018 22:04 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass A Common Stock 3,600 $0.00 $0.00
Disclosure

SEC source: 0001225208-18-004031 · doc5.xml · nonDerivative · entry 1

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Child (AEW)

Disclosed balance after: 1,200

F1 · kind: Gift without consideration.

F2 · ownership.nature: Shares held by the reporting person's children. The reporting person disclaims any beneficial ownership in these shares.

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January 01, 2017 Filed Mar 11, 2017 01:06 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass B Common Stock · Derivative 0 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-006128 · doc5.xml · derivative · entry 8

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 490,766

Underlying: Class A Common Stock · 0 shares

Expires not disclosed

F3 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. Upon the closing of the Issuer's sale of its Class A Common Stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-206312) under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of:(1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F1 · kind: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.

F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. Upon the closing of the Issuer's sale of its Class A Common Stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-206312) under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of:(1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. Upon the closing of the Issuer's sale of its Class A Common Stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-206312) under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of:(1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F2 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
January 01, 2017 Filed Mar 11, 2017 01:06 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass A Common Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-006128 · doc5.xml · nonDerivative · entry 2

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 50,000

F1 · kind: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.

F2 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
October 01, 2016 Filed Mar 11, 2017 01:06 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass B Common Stock · Derivative 0 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-006128 · doc5.xml · derivative · entry 7

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 490,766

Underlying: Class A Common Stock · 0 shares

Expires not disclosed

F3 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. Upon the closing of the Issuer's sale of its Class A Common Stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-206312) under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of:(1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F1 · kind: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.

F3 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. Upon the closing of the Issuer's sale of its Class A Common Stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-206312) under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of:(1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F3 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. Upon the closing of the Issuer's sale of its Class A Common Stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-206312) under the Securities Act of 1933, as amended, the Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of:(1) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F2 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

Read SEC document
October 01, 2016 Filed Mar 11, 2017 01:06 UTC Everpure, Inc. PSTG · Entity 3140 GiftClass A Common Stock 0 $0.00 $0.00
Disclosure

SEC source: 0001225208-17-006128 · doc5.xml · nonDerivative · entry 1

WHITE JAMES N · CIK 0001201720 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ltd Partnership (ROSE)

Disclosed balance after: 50,000

F1 · kind: Represents gift of limited partnership interests in a limited partnership to other limited partners. The reporting person disclaims beneficial ownership of the shares held by the limited partnership except as to the reporting person's pecuniary interest therein.

F2 · ownership.nature: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.

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.