TapewireFind a company

organization · Reporting owner

Draper Fisher Jurvetson Partners IX, LLC

Disclosed activity across 3 companies

Tapewire entity
166740
SEC CIK
0001476642

Export transaction history ↓

Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
BOX INCBOX · Entity 393210% ownerMay 10, 2018May 14, 2018

Disclosed balances

About these balances

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

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectBy Growth Fund0 Last balance in matching sequence After 2018-05-10 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2018-05-10 · Conversion · Acquired 556,218 · Balance 556,218

F1: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund).

F2: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3: Timothy C. Draper and John H.N. Fisher are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper and John H.N. Fisher. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey and Timothy C. Draper. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Row 2 · 2018-05-10 · Other · Disposed 556,218 · Balance 0

F5: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Fund to its partners or members and includes the subsequent distribution by Draper Fisher Jurvetson Growth Fund 2006 Partners, L.P. (Growth Fund 2006 Partners) to its respective partners or members.

F2: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3: Timothy C. Draper and John H.N. Fisher are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper and John H.N. Fisher. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey and Timothy C. Draper. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectBy Growth Partners0 Last balance in matching sequence After 2018-05-10 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 3 · 2018-05-10 · Conversion · Acquired 44,968 · Balance 44,968

F6: Represents the conversion of Class B Common Stock into Class A Common Stock held by Growth Partners.

F2: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3: Timothy C. Draper and John H.N. Fisher are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper and John H.N. Fisher. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey and Timothy C. Draper. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Row 4 · 2018-05-10 · Other · Disposed 44,968 · Balance 0

F7: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Partners to its partners or members.

F2: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3: Timothy C. Draper and John H.N. Fisher are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper and John H.N. Fisher. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey and Timothy C. Draper. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee footnote0 Last balance in matching sequence After 2018-05-10 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 5 · 2018-05-10 · Other · Acquired 83,637 · Balance 83,637

F8: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Growth Fund.

F9: Shares held by Growth Fund 2006 Partners.

Row 6 · 2018-05-10 · Other · Disposed 83,637 · Balance 0

F10: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Fund 2006 Partners to its partners or members.

F9: Shares held by Growth Fund 2006 Partners.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee footnotes1,215,708 Reported balance After 2018-05-10 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-05-10 · Conversion · Disposed 556,218 · Balance 1,215,708

F11: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F1: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund).

F2: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3: Timothy C. Draper and John H.N. Fisher are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper and John H.N. Fisher. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey and Timothy C. Draper. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee footnotes1,170,740 Reported balance After 2018-05-10 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2018-05-10 · Conversion · Disposed 44,968 · Balance 1,170,740

F11: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F6: Represents the conversion of Class B Common Stock into Class A Common Stock held by Growth Partners.

F2: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3: Timothy C. Draper and John H.N. Fisher are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper and John H.N. Fisher. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey and Timothy C. Draper. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F12: Shares held by DALP.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund).

F2: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3: Timothy C. Draper and John H.N. Fisher are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper and John H.N. Fisher. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey and Timothy C. Draper. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F5: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Fund to its partners or members and includes the subsequent distribution by Draper Fisher Jurvetson Growth Fund 2006 Partners, L.P. (Growth Fund 2006 Partners) to its respective partners or members.

F6: Represents the conversion of Class B Common Stock into Class A Common Stock held by Growth Partners.

F7: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Partners to its partners or members.

F8: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Growth Fund.

F9: Shares held by Growth Fund 2006 Partners.

F10: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Fund 2006 Partners to its partners or members.

F11: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F12: Shares held by DALP.

Past disclosures · reporting ended (2)

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

Redfin Corp

Report date August 02, 2017 · Filed August 02, 2017

Jointly reported with Draper Fisher Jurvetson Fund IX LP, Fisher John H N, DRAPER TIMOTHY C, Jurvetson Stephen T

Section 16 reporting ended · disclosed 2017-08-02. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Draper Fisher Jurvetson Fund IX, L.P.6,771,743 Last balance in matching sequence After 2017-08-02 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2017-08-02 · Conversion · Acquired 6,109,256 · Balance 6,135,371

F1: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Row 2 · 2017-08-02 · Conversion · Acquired 224,354 · Balance 6,359,725

F3: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Row 3 · 2017-08-02 · Conversion · Acquired 214,025 · Balance 6,573,750

F4: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Row 4 · 2017-08-02 · Conversion · Acquired 197,993 · Balance 6,771,743

F5: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Common StockSEC Table I · non-derivativeIndirectBy Draper Fisher Jurvetson Partners IX, LLC183,503 Last balance in matching sequence After 2017-08-02 transaction · row 8 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 5 · 2017-08-02 · Conversion · Acquired 165,553 · Balance 166,260

F1: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Row 6 · 2017-08-02 · Conversion · Acquired 6,079 · Balance 172,339

F3: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Row 7 · 2017-08-02 · Conversion · Acquired 5,799 · Balance 178,138

F4: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Row 8 · 2017-08-02 · Conversion · Acquired 5,365 · Balance 183,503

F5: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Common StockSEC Table I · non-derivativeIndirectBy Draper Associates, L.P217,492 Reported balance After 2017-08-02 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 9 · 2017-08-02 · Conversion · Acquired 217,492 · Balance 217,492

F1: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F7: These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Common StockSEC Table I · non-derivativeIndirectBy Draper Associates, L.P.225,479 Reported balance After 2017-08-02 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 10 · 2017-08-02 · Conversion · Acquired 7,987 · Balance 225,479

F3: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F7: These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Common StockSEC Table I · non-derivativeIndirectBy Draper Associates Riskmasters Fund II, LLC7,619 Reported balance After 2017-08-02 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 11 · 2017-08-02 · Conversion · Acquired 7,619 · Balance 7,619

F4: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F8: These securities are held of record by Draper Associates Riskmasters Fund II, LLC ("DARF II"). DARF II invests lockstep alongside Fund IX, instead and in place of DALP beginning June 2010. Mr. Draper is the Managing Member of DARF II and may be deemed to have voting and investment power over the securities held by DARF II. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Common StockSEC Table I · non-derivativeIndirectBy Draper Associates Riskmasters Fund III, LLC7,977 Reported balance After 2017-08-02 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 12 · 2017-08-02 · Conversion · Acquired 7,048 · Balance 7,977

F5: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F9: These securities are held of record by Draper Associates Riskmasters Fund III, LLC ("DARF III"). DARF III invests lockstep alongside Fund IX, instead and in place of DARF II beginning August 2013. Mr. Draper is the Managing Member of DARF III and may be deemed to have voting and investment power over the securities held by DARF III. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Fund IX, L.P.0 Reported balance After 2017-08-02 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2017-08-02 · Conversion · Disposed 6,109,256 · Balance 0

F1: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series D Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Fund IX, L.P.0 Reported balance After 2017-08-02 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2017-08-02 · Conversion · Disposed 224,354 · Balance 0

F3: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series E Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Fund IX, L.P.0 Reported balance After 2017-08-02 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2017-08-02 · Conversion · Disposed 214,025 · Balance 0

F4: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series F Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Fund IX, L.P.0 Reported balance After 2017-08-02 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2017-08-02 · Conversion · Disposed 197,993 · Balance 0

F5: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Partners IX, LLC0 Reported balance After 2017-08-02 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2017-08-02 · Conversion · Disposed 165,553 · Balance 0

F1: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series D Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Partners IX, LLC0 Reported balance After 2017-08-02 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 18 · 2017-08-02 · Conversion · Disposed 6,079 · Balance 0

F3: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series E Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Partners IX, LLC0 Reported balance After 2017-08-02 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 19 · 2017-08-02 · Conversion · Disposed 5,799 · Balance 0

F4: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series F Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Fisher Jurvetson Partners IX, LLC0 Reported balance After 2017-08-02 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 20 · 2017-08-02 · Conversion · Disposed 5,365 · Balance 0

F5: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Associates, L.P.0 Reported balance After 2017-08-02 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 21 · 2017-08-02 · Conversion · Disposed 217,492 · Balance 0

F1: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F7: These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series D Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Associates, L.P.0 Reported balance After 2017-08-02 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 22 · 2017-08-02 · Conversion · Disposed 7,987 · Balance 0

F3: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F7: These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series E Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Associates Riskmasters Fund II, LLC0 Reported balance After 2017-08-02 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 23 · 2017-08-02 · Conversion · Disposed 7,619 · Balance 0

F4: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F8: These securities are held of record by Draper Associates Riskmasters Fund II, LLC ("DARF II"). DARF II invests lockstep alongside Fund IX, instead and in place of DALP beginning June 2010. Mr. Draper is the Managing Member of DARF II and may be deemed to have voting and investment power over the securities held by DARF II. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Series F Preferred StockSEC Table II · derivative / convertible securityIndirectBy Draper Associates Riskmasters Fund III, LLC0 Reported balance After 2017-08-02 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 24 · 2017-08-02 · Conversion · Disposed 7,048 · Balance 0

F5: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F9: These securities are held of record by Draper Associates Riskmasters Fund III, LLC ("DARF III"). DARF III invests lockstep alongside Fund IX, instead and in place of DARF II beginning August 2013. Mr. Draper is the Managing Member of DARF III and may be deemed to have voting and investment power over the securities held by DARF III. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F5: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F7: These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F8: These securities are held of record by Draper Associates Riskmasters Fund II, LLC ("DARF II"). DARF II invests lockstep alongside Fund IX, instead and in place of DALP beginning June 2010. Mr. Draper is the Managing Member of DARF II and may be deemed to have voting and investment power over the securities held by DARF II. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F9: These securities are held of record by Draper Associates Riskmasters Fund III, LLC ("DARF III"). DARF III invests lockstep alongside Fund IX, instead and in place of DARF II beginning August 2013. Mr. Draper is the Managing Member of DARF III and may be deemed to have voting and investment power over the securities held by DARF III. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Section 16 reporting ended · disclosed 2016-11-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2016-11-21 · Disposition to issuer · Disposed 826,745 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F2: These shares are owned directly by Draper Fisher Jurvetson Fund IX, L.P.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2016-11-21 · Disposition to issuer · Disposed 260,838 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F3: These shares are owned directly by Draper Fisher Jurvetson Fund X, L.P.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2016-11-21 · Disposition to issuer · Disposed 1,653,952 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F4: These shares are owned directly by Draper Fisher Jurvetson Growth Fund 2006, L.P.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2016-11-21 · Disposition to issuer · Disposed 7,970 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F5: These shares are owned directly by Draper Fisher Jurvetson Partners X, LLC.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2016-11-21 · Disposition to issuer · Disposed 22,403 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F6: These shares are owned directly by Draper Fisher Jurvetson Partners IX, LLC.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2016-11-21 · Disposition to issuer · Disposed 136,138 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F7: These shares are owned directly by Draper Fisher Jurvetson Partners Growth Fund 2006, LLC.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2016-11-21 · Disposition to issuer · Disposed 399,383 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F9: Represents 177,612 shares held of record by Draper Associates, L.P., 160,396 shares held of record by Draper Associates Riskmasters Fund, LLC, and 61,375 shares held of record by Draper Associates Riskmasters Fund III, LLC.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 9 · 2016-11-21 · Disposition to issuer · Disposed 518 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F13: Mr. Fisher is one of several managing directors of the general partner entities of these funds that directly hold shares and as such Mr. Fisher may be deemed to have voting and investment power with respect to such shares. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F14: Mr. Fisher is one of several managing directors of the general partner entities of these funds that directly hold shares and as such Mr. Fisher may be deemed to have voting and investment power with respect to such shares. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F15: These shares are owned directly by Draper Fisher Jurvetson Fund IX Partners, L.P.

Common StockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2016-11-21 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 10 · 2016-11-21 · Disposition to issuer · Disposed 319 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F14: Mr. Fisher is one of several managing directors of the general partner entities of these funds that directly hold shares and as such Mr. Fisher may be deemed to have voting and investment power with respect to such shares. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F16: These shares are owned directly by Draper Fisher Jurvetson Fund X Partners, L.P.

Common StockSEC Table I · non-derivativeIndirectBy Family Trust0 Reported balance After 2016-11-21 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2016-11-21 · Disposition to issuer · Disposed 401,053 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F8: These shares are owned directly by the J. Fisher and J Caldwell Living Trust of which the reporting person is a co-trustee.

F17: These shares are owned directly by John Fisher and Jennifer Caldwell Living Trust dated 1/7/00, as amended and restated on 3/27/08. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2016-11-21 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 11 · 2016-11-21 · Disposition to issuer · Disposed 24,388 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F18: These shares are owned directly by JHNF Investment LLC. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2016-11-21 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 12 · 2016-11-21 · Disposition to issuer · Disposed 6,776 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F19: These shares are owned directly by the Fisher/Caldwell 2012 Irrevocable Children's Trust U/A/D 6-12-12 of which the reporting person is a co-trustee. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2016-11-21 transaction · row 13 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 13 · 2016-11-21 · Disposition to issuer · Disposed 500 · Balance 0

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F20: These shares are held by the reporting person as custodian for a minor child.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $62.51Direct0 Reported balance After 2016-11-21 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2016-11-21 · Disposition to issuer · Disposed 30,000 · Balance 0

F21: Outstanding stock options and restricted stock unit awards ("RSUs") of the Issuer were assumed by Tesla and automatically converted into corresponding equity incentive awards on common stock of Tesla in accordance with the Merger Agreement.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $62.51Direct0 Reported balance After 2016-11-21 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 15 · 2016-11-21 · Disposition to issuer · Disposed 3,500 · Balance 0

F21: Outstanding stock options and restricted stock unit awards ("RSUs") of the Issuer were assumed by Tesla and automatically converted into corresponding equity incentive awards on common stock of Tesla in accordance with the Merger Agreement.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $62.51Direct0 Reported balance After 2016-11-21 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 16 · 2016-11-21 · Disposition to issuer · Disposed 5,000 · Balance 0

F21: Outstanding stock options and restricted stock unit awards ("RSUs") of the Issuer were assumed by Tesla and automatically converted into corresponding equity incentive awards on common stock of Tesla in accordance with the Merger Agreement.

Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $62.51Direct0 Reported balance After 2016-11-21 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 17 · 2016-11-21 · Disposition to issuer · Disposed 1,000 · Balance 0

F21: Outstanding stock options and restricted stock unit awards ("RSUs") of the Issuer were assumed by Tesla and automatically converted into corresponding equity incentive awards on common stock of Tesla in accordance with the Merger Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: Outstanding shares of the common stock of the Issuer were converted into the right to receive 0.110 shares of Tesla common stock for each share of the Issuer's common stock issued and outstanding, with cash paid in lieu of fractional shares, in accordance with the Merger Agreement.

F2: These shares are owned directly by Draper Fisher Jurvetson Fund IX, L.P.

F3: These shares are owned directly by Draper Fisher Jurvetson Fund X, L.P.

F4: These shares are owned directly by Draper Fisher Jurvetson Growth Fund 2006, L.P.

F5: These shares are owned directly by Draper Fisher Jurvetson Partners X, LLC.

F6: These shares are owned directly by Draper Fisher Jurvetson Partners IX, LLC.

F7: These shares are owned directly by Draper Fisher Jurvetson Partners Growth Fund 2006, LLC.

F8: These shares are owned directly by the J. Fisher and J Caldwell Living Trust of which the reporting person is a co-trustee.

F9: Represents 177,612 shares held of record by Draper Associates, L.P., 160,396 shares held of record by Draper Associates Riskmasters Fund, LLC, and 61,375 shares held of record by Draper Associates Riskmasters Fund III, LLC.

F10: John H.N. Fisher is a member of the issuer's board of directors. Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Draper Fisher Jurvetson Fund IX, L.P. (Fund IX) and Draper Fisher Jurvetson Fund X, L.P. (Fund X) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners IX, LLC invests lockstep alongside Fund IX. Draper Fisher Jurvetson Partners X, LLC invests lockstep alongside Fund X. Draper Associates, L.P. (DALP) invests lockstep alongside Fund IX and Fund X.

F11: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. Draper Associates Riskmasters Fund, LLC (DARF) and Draper Associates Riskmasters Fund III, LLC (DARFIII) invest lockstep alongside Fund IX and Fund X, instead and in place of DALP beginning June 2010.

F12: The Managing Member of DARF and DARFIII is Timothy C. Draper. John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler and Mark W. Bailey. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F13: Mr. Fisher is one of several managing directors of the general partner entities of these funds that directly hold shares and as such Mr. Fisher may be deemed to have voting and investment power with respect to such shares. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F14: Mr. Fisher is one of several managing directors of the general partner entities of these funds that directly hold shares and as such Mr. Fisher may be deemed to have voting and investment power with respect to such shares. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F15: These shares are owned directly by Draper Fisher Jurvetson Fund IX Partners, L.P.

F16: These shares are owned directly by Draper Fisher Jurvetson Fund X Partners, L.P.

F17: These shares are owned directly by John Fisher and Jennifer Caldwell Living Trust dated 1/7/00, as amended and restated on 3/27/08. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F18: These shares are owned directly by JHNF Investment LLC. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F19: These shares are owned directly by the Fisher/Caldwell 2012 Irrevocable Children's Trust U/A/D 6-12-12 of which the reporting person is a co-trustee. Mr. Fisher disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.

F20: These shares are held by the reporting person as custodian for a minor child.

F21: Outstanding stock options and restricted stock unit awards ("RSUs") of the Issuer were assumed by Tesla and automatically converted into corresponding equity incentive awards on common stock of Tesla in accordance with the Merger Agreement.

Transaction history

JSON API
Reset

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
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries F Preferred Stock · Derivative 5,365 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 20

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 0

Underlying: Common Stock · 5,365 shares

Expires not disclosed

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

F5 · derivative.exercise_price: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F5 · derivative.exercise_date: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F5 · derivative.expiration_date: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries E Preferred Stock · Derivative 5,799 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 19

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 0

Underlying: Common Stock · 5,799 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries D Preferred Stock · Derivative 6,079 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 18

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 0

Underlying: Common Stock · 6,079 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries C Preferred Stock · Derivative 165,553 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 17

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 0

Underlying: Common Stock · 165,553 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries F Preferred Stock · Derivative 197,993 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 16

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 197,993 shares

Expires not disclosed

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

F5 · derivative.exercise_price: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F5 · derivative.exercise_date: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F5 · derivative.expiration_date: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries E Preferred Stock · Derivative 214,025 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 15

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 214,025 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries D Preferred Stock · Derivative 224,354 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 14

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 224,354 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionSeries C Preferred Stock · Derivative 6,109,256 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · derivative · entry 13

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 6,109,256 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 7,048 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 12

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Associates Riskmasters Fund III, LLC

Disclosed balance after: 7,977

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

F5 · price: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F9 · ownership.nature: These securities are held of record by Draper Associates Riskmasters Fund III, LLC ("DARF III"). DARF III invests lockstep alongside Fund IX, instead and in place of DARF II beginning August 2013. Mr. Draper is the Managing Member of DARF III and may be deemed to have voting and investment power over the securities held by DARF III. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 7,619 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 11

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Associates Riskmasters Fund II, LLC

Disclosed balance after: 7,619

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

F4 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F8 · ownership.nature: These securities are held of record by Draper Associates Riskmasters Fund II, LLC ("DARF II"). DARF II invests lockstep alongside Fund IX, instead and in place of DALP beginning June 2010. Mr. Draper is the Managing Member of DARF II and may be deemed to have voting and investment power over the securities held by DARF II. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 7,987 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 10

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Associates, L.P.

Disclosed balance after: 225,479

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

F3 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F7 · ownership.nature: These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 217,492 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 9

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Associates, L.P

Disclosed balance after: 217,492

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

F1 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F7 · ownership.nature: These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 5,365 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 8

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 183,503

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.

F5 · price: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 5,799 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 7

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 178,138

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

F4 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 6,079 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 6

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 172,339

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

F3 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 165,553 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 5

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Partners IX, LLC

Disclosed balance after: 166,260

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

F1 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F6 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 197,993 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 4

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 6,771,743

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

F5 · price: Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 214,025 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 3

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 6,573,750

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

F4 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 224,354 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 2

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 6,359,725

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

F3 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 02, 2017 Filed Aug 2, 2017 17:00 UTC Redfin Corp RDFN · Entity 77686 ConversionCommon Stock 6,109,256 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-019563 · doc4.xml · nonDerivative · entry 1

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Draper Fisher Jurvetson Fund IX, L.P.

Disclosed balance after: 6,135,371

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

F1 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
July 05, 2017 Filed Jul 12, 2017 17:09 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 320,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-044914 · doc4.xml · derivative · entry 3

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 12,684,873

Underlying: Class A Common Stock · 320,000 shares

Expires not disclosed

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

F6 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F6 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Associates, L.P. (DALP).

F6 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F6 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F7 · ownership.nature: 1,170,740 of these shares are owned directly by DALP, 2,330,280 of these shares are owned directly by Fund IX, 7,452,141 of these shares are owned directly by Fund VIII, 63,146 of these shares are owned directly by Partners IX, 165,601 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.

Read SEC document
July 05, 2017 Filed Jul 12, 2017 17:09 UTC BOX INC BOX · Entity 3932 SaleClass A Common Stock 320,000 $18.07 $5,781,440.00
Disclosure

SEC source: 0001209191-17-044914 · doc4.xml · nonDerivative · entry 2

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By DALP

Disclosed balance after: 0

F5 · price: This sale price represents the weighted average sale price of the shares sold ranging from $18.04 to $18.21 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F2 · ownership.nature: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
July 05, 2017 Filed Jul 12, 2017 17:09 UTC BOX INC BOX · Entity 3932 ConversionClass A Common Stock 320,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-044914 · doc4.xml · nonDerivative · entry 1

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By DALP

Disclosed balance after: 320,000

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 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Associates, L.P. (DALP).

F1 · price: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Associates, L.P. (DALP).

F2 · ownership.nature: The General Partner of DALP is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 12,630 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · derivative · entry 16

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 13,004,873

Underlying: Class A Common Stock · 12,630 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F10 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners IX.

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F19 · ownership.nature: 1,490,740 of these shares are owned directly by DALP, 2,330,280 of these shares are owned directly by Fund IX, 7,452,141 of these shares are owned directly by Fund VIII, 63,146 of these shares are owned directly by Partners IX, 165,601 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 466,056 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · derivative · entry 15

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 13,017,503

Underlying: Class A Common Stock · 466,056 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F8 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Fund IX.

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F19 · ownership.nature: 1,490,740 of these shares are owned directly by DALP, 2,330,280 of these shares are owned directly by Fund IX, 7,452,141 of these shares are owned directly by Fund VIII, 63,146 of these shares are owned directly by Partners IX, 165,601 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 33,121 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · derivative · entry 14

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 13,483,559

Underlying: Class A Common Stock · 33,121 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F6 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners VIII.

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F19 · ownership.nature: 1,490,740 of these shares are owned directly by DALP, 2,330,280 of these shares are owned directly by Fund IX, 7,452,141 of these shares are owned directly by Fund VIII, 63,146 of these shares are owned directly by Partners IX, 165,601 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 1,490,428 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · derivative · entry 13

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 13,516,680

Underlying: Class A Common Stock · 1,490,428 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII).

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 84,363 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 12

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F17 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX Partners to its partners or members.

F17 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX Partners to its partners or members.

F16 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund IX Partners, L.P. (Fund IX Partners).

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 84,363 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 11

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 84,363

F15 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund IX.

F15 · price: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund IX.

F16 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund IX Partners, L.P. (Fund IX Partners).

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 370,562 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 10

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F14 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII Partners to its partners or members.

F14 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII Partners to its partners or members.

F13 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund VIII Partners, L.P. (Fund VIII Partners).

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 370,562 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 9

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 370,562

F12 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII.

F12 · price: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII.

F13 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund VIII Partners, L.P. (Fund VIII Partners).

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 12,630 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 8

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partners IX

Disclosed balance after: 0

F11 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Partners IX to its partners or members.

F11 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Partners IX to its partners or members.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass A Common Stock 12,630 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 7

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partners IX

Disclosed balance after: 12,630

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.

F10 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners IX.

F10 · price: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners IX.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 466,056 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 6

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund IX

Disclosed balance after: 0

F9 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX to its partners or members.

F9 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX to its partners or members.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass A Common Stock 466,056 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 5

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund IX

Disclosed balance after: 466,056

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.

F8 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Fund IX.

F8 · price: Represents the conversion of Class B Common Stock into Class A Common Stock held by Fund IX.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 33,121 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 4

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partners VIII

Disclosed balance after: 0

F7 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Partners VIII to its partners or members.

F7 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Partners VIII to its partners or members.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass A Common Stock 33,121 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 3

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partners VIII

Disclosed balance after: 33,121

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

F6 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners VIII.

F6 · price: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners VIII.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 1,490,428 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 2

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund VIII

Disclosed balance after: 0

F5 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII to its partners or members and includes the subsequent distribution by Draper Fisher Jurvetson Fund VIII Partners, L.P. to its respective partners or members.

F5 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII to its partners or members and includes the subsequent distribution by Draper Fisher Jurvetson Fund VIII Partners, L.P. to its respective partners or members.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:29 UTC BOX INC BOX · Entity 3932 ConversionClass A Common Stock 1,490,428 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-031105 · doc4.xml · nonDerivative · entry 1

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund VIII

Disclosed balance after: 1,490,428

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 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII).

F1 · price: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII).

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 12,630 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · derivative · entry 16

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,007,108

Underlying: Class A Common Stock · 12,630 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F10 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners IX.

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F19 · ownership.nature: 1,490,740 of these shares are owned directly by DALP, 2,746,336 of these shares are owned directly by Fund IX, 8,942,569 of these shares are owned directly by Fund VIII, 75,776 of these shares are owned directly by Partners IX, 198,722 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 466,056 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · derivative · entry 15

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,019,738

Underlying: Class A Common Stock · 466,056 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F8 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Fund IX.

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F19 · ownership.nature: 1,490,740 of these shares are owned directly by DALP, 2,746,336 of these shares are owned directly by Fund IX, 8,942,569 of these shares are owned directly by Fund VIII, 75,776 of these shares are owned directly by Partners IX, 198,722 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 33,121 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · derivative · entry 14

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,485,794

Underlying: Class A Common Stock · 33,121 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F6 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners VIII.

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F19 · ownership.nature: 1,490,740 of these shares are owned directly by DALP, 2,746,336 of these shares are owned directly by Fund IX, 8,942,569 of these shares are owned directly by Fund VIII, 75,776 of these shares are owned directly by Partners IX, 198,722 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 ConversionClass B Common Stock · Derivative 1,490,428 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · derivative · entry 13

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,518,915

Underlying: Class A Common Stock · 1,490,428 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.

F18 · security: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.exercise_price: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII).

F18 · derivative.exercise_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F18 · derivative.expiration_date: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 111,385 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · nonDerivative · entry 12

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F17 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX Partners to its partners or members.

F17 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX Partners to its partners or members.

F16 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund IX Partners, L.P. (Fund IX Partners).

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 111,385 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · nonDerivative · entry 11

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 111,385

F15 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund IX.

F15 · price: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund IX.

F16 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund IX Partners, L.P. (Fund IX Partners).

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 369,597 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · nonDerivative · entry 10

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F14 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII Partners to its partners or members.

F14 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII Partners to its partners or members.

F13 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund VIII Partners, L.P. (Fund VIII Partners).

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 369,597 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · nonDerivative · entry 9

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 369,597

F12 · kind: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII.

F12 · price: Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII.

F13 · ownership.nature: Shares held by Draper Fisher Jurvetson Fund VIII Partners, L.P. (Fund VIII Partners).

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 12,630 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · nonDerivative · entry 8

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partners IX

Disclosed balance after: 0

F11 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Partners IX to its partners or members.

F11 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Partners IX to its partners or members.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 ConversionClass A Common Stock 12,630 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · nonDerivative · entry 7

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Partners IX

Disclosed balance after: 12,630

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.

F10 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners IX.

F10 · price: Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners IX.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

Read SEC document
April 05, 2017 Filed Apr 7, 2017 16:18 UTC BOX INC BOX · Entity 3932 OtherClass A Common Stock 466,056 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-026247 · doc4.xml · nonDerivative · entry 6

Draper Fisher Jurvetson Fund VIII L P · CIK 0001312964 · 10% owner

DRAPER FISHER JURVETSON PARTNERS VIII LLC · CIK 0001327087 · 10% owner

Draper Fisher Jurvetson Fund IX LP · CIK 0001385373 · 10% owner

Draper Fisher Jurvetson Partners IX, LLC · CIK 0001476642 · 10% owner

DRAPER ASSOCIATES L P · CIK 0001106255 · 10% owner

DRAPER TIMOTHY C · CIK 0001074910 · 10% owner

Fisher John H N · CIK 0001304934 · 10% owner

Jurvetson Stephen T · CIK 0001314917 · 10% owner

BAILEY MARK W · CIK 0001284493 · 10% owner

Schuler Barry · CIK 0001506924 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund IX

Disclosed balance after: 0

F9 · kind: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX to its partners or members.

F9 · price: Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund IX to its partners or members.

F2 · ownership.nature: The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).

F3 · ownership.nature: Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.

F4 · ownership.nature: John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their 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.