Summit Partners PE VII, LLC

SEC source: 0001179110-18-005948 · edgar.xml · nonDerivative · entry 1

SUMMIT PARTNERS L P · CIK 0000830588 · 10% owner · Manager of GP of 10% owner

SUMMIT MASTER COMPANY, LLC · CIK 0001627278 · 10% owner · Manager of Manager of 10% owne

Summit Partners PE VII, L.P. · CIK 0001486418 · 10% owner · GP of 10% owner.

Summit Partners PE VII, LLC · CIK 0001486419 · 10% owner · GP of GP of 10% owner

Summit Investors Management, LLC · CIK 0001507545 · 10% owner · Manager and GP of 10% Owner

Summit Partners Private Equity Fund VII-A, L.P. · CIK 0001486421 · 10% owner

Summit Partners Private Equity Fund VII B L P · CIK 0001385242 · 10% owner

Summit Investors I, LLC · CIK 0001435565 · 10% owner

Summit Investors I (UK), L.P. · CIK 0001494616 · 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: 34,124,480

F1 · shares: Consists of 2,940,250 shares of common stock sold by Summit Partners Private Equity Fund VII-A, L.P., 1,765,961 shares of common stock sold by Summit Partners Private Equity Fund VII-B, L.P., 10,037 shares of common stock sold by Summit Investors I, LLC and 1,272 shares of common stock sold by Summit Investors I (UK), L.P.

F2 · shares: Of the shares sold by the reporting persons mentioned in footnote (1), the sale of 250,000 shares is matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with the purchase of 250,000 shares on December 19, 2017 at $13.0 per share. The reporting persons mentioned in footnote (1) have paid to the issuer an aggregate of $2,721,875.00, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

F3 · balance_after: Consists of 21,268,476 shares of common stock held by Summit Partners Private Equity Fund VII-A, L.P., 12,774,194 shares of common stock held by Summit Partners Private Equity Fund VII-B, L.P., 72,605 shares of common stock issued held by Summit Investors I, LLC and 9,205 shares of common stock held by Summit Investors I (UK), L.P.

F4 · ownership.nature: Summit Partners, L.P. is the managing member of Summit Partners PE VII, LLC, which is the general partner of Summit Partners PE VII, L.P., which is the general partner of each of Summit Partners Private Equity Fund VII-A, L.P. and Summit Partners Private Equity Fund VII-B, L.P. Summit Master Company, LLC is the managing member of Summit Investors Management, LLC, which is the manager of Summit Investors I, LLC, and the general partner of Summit Investors I (UK), L.P. Summit Master Company, LLC, as the managing member of Summit Investors Management, LLC, has delegated investment decisions, including voting and dispositive power, to Summit Partners, L.P. and its investment committee responsible for voting and investment decisions with respect to the Issuer.

F5 · ownership.nature: Summit Partners, L.P., through a three-person investment committee responsible for voting and investment decisions with respect to the Issuer, currently comprised of Peter Y. Chung, Bruce R. Evans and Martin J. Mannion, has voting and dispositive power over the shares held by each of these entities and therefore may be deemed to beneficially own such shares. Each of the Summit entities and persons mentioned in this footnote disclaims beneficial ownership of the shares, except for those shares held of record by such entity, and except to the extent of their pecuniary interest therein.

SEC source: 0001179110-17-015609 · edgar.xml · derivative · entry 3

SUMMIT PARTNERS L P · CIK 0000830588 · 10% owner · Manager of GP of 10% owner

SUMMIT MASTER COMPANY, LLC · CIK 0001627278 · 10% owner · Manager of Manager of 10% owne

Summit Partners PE VII, L.P. · CIK 0001486418 · 10% owner · GP of 10% owner.

Summit Partners PE VII, LLC · CIK 0001486419 · 10% owner · GP of GP of 10% owner

Summit Investors Management, LLC · CIK 0001507545 · 10% owner · Manager and GP of 10% Owner

Summit Partners Private Equity Fund VII-A, L.P. · CIK 0001486421 · 10% owner

Summit Partners Private Equity Fund VII B L P · CIK 0001385242 · 10% owner

Summit Investors I, LLC · CIK 0001435565 · 10% owner

Summit Investors I (UK), L.P. · CIK 0001494616 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,592,000 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.

F1 · derivative.exercise_price: The Series C Convertible Preferred Stock automatically converted into common stock of Casa Systems, Inc. (the "Issuer") on a ten-for-one basis upon the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.

F1 · price: The Series C Convertible Preferred Stock automatically converted into common stock of Casa Systems, Inc. (the "Issuer") on a ten-for-one basis upon the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: The Series C Convertible Preferred Stock automatically converted into common stock of Casa Systems, Inc. (the "Issuer") on a ten-for-one basis upon the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: The Series C Convertible Preferred Stock automatically converted into common stock of Casa Systems, Inc. (the "Issuer") on a ten-for-one basis upon the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.

F2 · derivative.underlying_shares: Consists of 24,052,910 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Partners Private Equity Fund VII-A, L.P., 14,446,570 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Partners Private Equity Fund VII-B, L.P., 82,110 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Investors I, LLC and 10,410 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Investors I (UK), L.P.

F3 · ownership.direct: Summit Partners, L.P. is the managing member of Summit Partners PE VII, LLC, which is the general partner of Summit Partners PE VII, L.P., which is the general partner of each of Summit Partners Private Equity Fund VII-A, L.P. and Summit Partners Private Equity Fund VII-B, L.P. Summit Master Company, LLC is the managing member of Summit Investors Management, LLC, which is the manager of Summit Investors I, LLC, and the general partner of Summit Investors I (UK), L.P. Summit Master Company, LLC, as the managing member of Summit Investors Management, LLC, has delegated investment decisions, including voting and dispositive power, to Summit Partners, L.P. and its investment committee responsible for voting and investment decisions with respect to the Issuer.

F4 · ownership.direct: Summit Partners, L.P., through a three-person investment committee responsible for voting and investment decisions with respect to the Issuer, currently comprised of Peter Y. Chung, Bruce R. Evans and Martin J. Mannion, has voting and dispositive power over the shares held by each of these entities and therefore may be deemed to beneficially own such shares. Each of the Summit entities and persons mentioned in this footnote disclaims beneficial ownership of the shares, except for those shares held of record by such entity, and except to the extent of their pecuniary interest therein.

SEC source: 0001179110-17-015609 · edgar.xml · nonDerivative · entry 2

SUMMIT PARTNERS L P · CIK 0000830588 · 10% owner · Manager of GP of 10% owner

SUMMIT MASTER COMPANY, LLC · CIK 0001627278 · 10% owner · Manager of Manager of 10% owne

Summit Partners PE VII, L.P. · CIK 0001486418 · 10% owner · GP of 10% owner.

Summit Partners PE VII, LLC · CIK 0001486419 · 10% owner · GP of GP of 10% owner

Summit Investors Management, LLC · CIK 0001507545 · 10% owner · Manager and GP of 10% Owner

Summit Partners Private Equity Fund VII-A, L.P. · CIK 0001486421 · 10% owner

Summit Partners Private Equity Fund VII B L P · CIK 0001385242 · 10% owner

Summit Investors I, LLC · CIK 0001435565 · 10% owner

Summit Investors I (UK), L.P. · CIK 0001494616 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,842,000

F5 · shares: Consists of 155,816 shares of common stock purchased by Summit Partners Private Equity Fund VII-A, L.P., 93,585 shares of common stock purchased by Summit Partners Private Equity Fund VII-B, L.P., 532 shares of common stock issued purchased by Summit Investors I, LLC and 67 shares of common stock purchased by Summit Investors I (UK), L.P.

F6 · balance_after: Consists of 24,208,726 shares of common stock held by Summit Partners Private Equity Fund VII-A, L.P., 14,540,155 shares of common stock held by Summit Partners Private Equity Fund VII-B, L.P., 82,642 shares of common stock issued held by Summit Investors I, LLC and 10,477 shares of common stock held by Summit Investors I (UK), L.P.

F3 · ownership.direct: Summit Partners, L.P. is the managing member of Summit Partners PE VII, LLC, which is the general partner of Summit Partners PE VII, L.P., which is the general partner of each of Summit Partners Private Equity Fund VII-A, L.P. and Summit Partners Private Equity Fund VII-B, L.P. Summit Master Company, LLC is the managing member of Summit Investors Management, LLC, which is the manager of Summit Investors I, LLC, and the general partner of Summit Investors I (UK), L.P. Summit Master Company, LLC, as the managing member of Summit Investors Management, LLC, has delegated investment decisions, including voting and dispositive power, to Summit Partners, L.P. and its investment committee responsible for voting and investment decisions with respect to the Issuer.

F4 · ownership.direct: Summit Partners, L.P., through a three-person investment committee responsible for voting and investment decisions with respect to the Issuer, currently comprised of Peter Y. Chung, Bruce R. Evans and Martin J. Mannion, has voting and dispositive power over the shares held by each of these entities and therefore may be deemed to beneficially own such shares. Each of the Summit entities and persons mentioned in this footnote disclaims beneficial ownership of the shares, except for those shares held of record by such entity, and except to the extent of their pecuniary interest therein.

SEC source: 0001179110-17-015609 · edgar.xml · nonDerivative · entry 1

SUMMIT PARTNERS L P · CIK 0000830588 · 10% owner · Manager of GP of 10% owner

SUMMIT MASTER COMPANY, LLC · CIK 0001627278 · 10% owner · Manager of Manager of 10% owne

Summit Partners PE VII, L.P. · CIK 0001486418 · 10% owner · GP of 10% owner.

Summit Partners PE VII, LLC · CIK 0001486419 · 10% owner · GP of GP of 10% owner

Summit Investors Management, LLC · CIK 0001507545 · 10% owner · Manager and GP of 10% Owner

Summit Partners Private Equity Fund VII-A, L.P. · CIK 0001486421 · 10% owner

Summit Partners Private Equity Fund VII B L P · CIK 0001385242 · 10% owner

Summit Investors I, LLC · CIK 0001435565 · 10% owner

Summit Investors I (UK), L.P. · CIK 0001494616 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,592,000

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 · price: The Series C Convertible Preferred Stock automatically converted into common stock of Casa Systems, Inc. (the "Issuer") on a ten-for-one basis upon the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.

F2 · balance_after: Consists of 24,052,910 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Partners Private Equity Fund VII-A, L.P., 14,446,570 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Partners Private Equity Fund VII-B, L.P., 82,110 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Investors I, LLC and 10,410 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Investors I (UK), L.P.

F3 · ownership.direct: Summit Partners, L.P. is the managing member of Summit Partners PE VII, LLC, which is the general partner of Summit Partners PE VII, L.P., which is the general partner of each of Summit Partners Private Equity Fund VII-A, L.P. and Summit Partners Private Equity Fund VII-B, L.P. Summit Master Company, LLC is the managing member of Summit Investors Management, LLC, which is the manager of Summit Investors I, LLC, and the general partner of Summit Investors I (UK), L.P. Summit Master Company, LLC, as the managing member of Summit Investors Management, LLC, has delegated investment decisions, including voting and dispositive power, to Summit Partners, L.P. and its investment committee responsible for voting and investment decisions with respect to the Issuer.

F4 · ownership.direct: Summit Partners, L.P., through a three-person investment committee responsible for voting and investment decisions with respect to the Issuer, currently comprised of Peter Y. Chung, Bruce R. Evans and Martin J. Mannion, has voting and dispositive power over the shares held by each of these entities and therefore may be deemed to beneficially own such shares. Each of the Summit entities and persons mentioned in this footnote disclaims beneficial ownership of the shares, except for those shares held of record by such entity, and except to the extent of their pecuniary interest therein.