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CISCO SYSTEMS, INC.

Disclosed activity across 9 companies

Tapewire entity
2802
SEC CIK
0000858877

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
COGENT COMMUNICATIONS HOLDINGS, INC.COI · Entity 129810% ownerFebruary 15, 2005February 17, 2005
Starent Networks, Corp.STAR · Entity 1324710% ownerOctober 12, 2009October 22, 2009

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.

COGENT COMMUNICATIONS HOLDINGS, INC.

Report date February 15, 2005 · Filed February 17, 2005

Jointly reported with Cisco Systems Capital CORP

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect68,199,713 Reported balance After 2005-02-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2005-02-15 · Conversion · Acquired 68,199,713 · Balance 68,199,713

F1: Not applicable.

F2: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Common StockSEC Table I · non-derivativeIndirectBy Cisco68,199,713 Reported balance After 2005-02-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2005-02-15 · Conversion · Acquired 68,199,713 · Balance 68,199,713

F1: Not applicable.

F2: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Series F Participating Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2005-02-15 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2005-02-15 · Conversion · Disposed 11,000 · Balance 0

F3: Each share of Series F Participating Convertible Preferred Stock, par value $0.001 per share, converts into 6,199.974 shares of Common Stock.

F1: Not applicable.

F4: Immediately convertible.

F2: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Series F Participating Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectBy Cisco0 Reported balance After 2005-02-15 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2005-02-15 · Conversion · Disposed 11,000 · Balance 0

F3: Each share of Series F Participating Convertible Preferred Stock, par value $0.001 per share, converts into 6,199.974 shares of Common Stock.

F1: Not applicable.

F4: Immediately convertible.

F2: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Filing footnotes · ownership attribution and instrument terms

F1: Not applicable.

F2: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

F3: Each share of Series F Participating Convertible Preferred Stock, par value $0.001 per share, converts into 6,199.974 shares of Common Stock.

F4: Immediately convertible.

Starent Networks, Corp.

Report date October 12, 2009 · Filed October 22, 2009

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote13,615,467 Reported balance Holding disclosure · report date 2009-10-12 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 13,615,467

F1: Includes 62,502 shares beneficially owned by the Stockholders as of October 9, 2009 that are subject to repurchase by the Issuer.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.55 · Expires 2017-06-20IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2009-10-12 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.59 · Expires 2018-05-21IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2009-10-12 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.82 · Expires 2015-07-25IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2009-10-12 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance Not disclosed

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.13 · Expires 2016-12-13IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2009-10-12 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · Balance Not disclosed

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.97 · Expires 2018-03-18IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2009-10-12 · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · Balance Not disclosed

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.25 · Expires 2017-04-12IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2009-10-12 · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · Balance Not disclosed

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.65 · Expires 2016-09-28IndirectSee footnoteNot disclosed Reported balance Holding disclosure · report date 2009-10-12 · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · Balance Not disclosed

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 62,502 shares beneficially owned by the Stockholders as of October 9, 2009 that are subject to repurchase by the Issuer.

F2: The Reporting Person has entered into voting agreements (the "Voting Agreements"), dated October 12, 2009, with certain stockholders of the Issuer (the "Stockholders"), which provide the Reporting Person with a limited right to vote each of the 14,644,684 shares of the Issuer's common stock beneficially owned by the Stockholders and shares of the Issuer's common stock with respect to which the Stockholders thereafter acquire beneficial ownership in matters related to a proposed merger between the Issuer and a wholly-owned subsidiary of the Reporting Person. The Reporting Person expressly disclaims beneficial ownership of these shares. The form of Voting Agreement is incorporated by reference from Exhibit 10.1 to the Current Report on Form 8-K dated October 12, 2009 and filed by the Issuer with the Securities and Exchange Commission on October 14, 2009.

F3: Reflects shares issuable upon exercise of options exercisable within 60 days of October 9, 2009.

Past disclosures · reporting ended (7)

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

AQUANTIA CORP

Report date November 07, 2017 · Filed November 07, 2017

Jointly reported with Cisco Systems International B.V.

Section 16 reporting ended · disclosed 2017-11-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectsee footnote243,635 Reported balance After 2017-11-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2017-11-07 · Conversion · Acquired 243,635 · Balance 243,635

F1: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Common StockSEC Table I · non-derivativeIndirectsee footnote46,505 Reported balance After 2017-11-07 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2017-11-07 · Conversion · Acquired 46,505 · Balance 46,505

F2: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Common StockSEC Table I · non-derivativeIndirectsee footnote187,311 Reported balance After 2017-11-07 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2017-11-07 · Conversion · Acquired 187,311 · Balance 187,311

F3: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Common StockSEC Table I · non-derivativeIndirectsee footnote93,191 Reported balance After 2017-11-07 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2017-11-07 · Conversion · Acquired 93,191 · Balance 93,191

F4: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Common StockSEC Table I · non-derivativeIndirectsee footnote53,879 Reported balance After 2017-11-07 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2017-11-07 · Conversion · Acquired 53,879 · Balance 53,879

F5: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Common StockSEC Table I · non-derivativeIndirectsee footnote21,749 Reported balance After 2017-11-07 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2017-11-07 · Conversion · Acquired 21,749 · Balance 21,749

F6: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Common StockSEC Table I · non-derivativeDirect26,506 Reported balance After 2017-11-07 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2017-11-07 · Conversion · Acquired 26,506 · Balance 26,506

F7: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F9: Cisco directly beneficially owns the reported securities.

Series A Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectsee footnote0 Reported balance After 2017-11-07 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2017-11-07 · Conversion · Disposed 2,436,351 · Balance 0

F1: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Series B Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectsee footnote0 Reported balance After 2017-11-07 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2017-11-07 · Conversion · Disposed 465,056 · Balance 0

F2: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Series D Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectsee footnote0 Reported balance After 2017-11-07 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2017-11-07 · Conversion · Disposed 1,873,110 · Balance 0

F3: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Series E Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectsee footnote0 Reported balance After 2017-11-07 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2017-11-07 · Conversion · Disposed 931,914 · Balance 0

F4: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Series F Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectsee footnote0 Reported balance After 2017-11-07 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2017-11-07 · Conversion · Disposed 538,793 · Balance 0

F5: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Series G Convertible Preferred StockSEC Table II · derivative / convertible securityIndirectsee footnote0 Reported balance After 2017-11-07 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2017-11-07 · Conversion · Disposed 217,490 · Balance 0

F6: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Series H Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2017-11-07 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2017-11-07 · Conversion · Disposed 265,064 · Balance 0

F7: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F9: Cisco directly beneficially owns the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F2: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F3: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F4: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F5: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F6: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F7: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F8: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

F9: Cisco directly beneficially owns the reported securities.

CBEYOND COMMUNICATIONS INC

Report date November 07, 2005 · Filed November 09, 2005

Jointly reported with Cisco Systems Capital CORP

Section 16 reporting ended · disclosed 2005-11-09. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,797,998 Reported balance After 2005-11-07 transaction · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · 2005-11-07 · Conversion · Acquired 1,082,358 · Balance 1,797,998

F1: Number of shares reflects a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005.

F3: In connection with the closing of the Issuer's initial public offering, each share of Series B Participating Preferred Stock converted automatically into 0.3702 shares of Issuer's Common Stock, after giving effect to a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005. At the time of conversion, there were $1,276,186 accrued but unpaid dividends on the Series B Participating Preferred Stock beneficially owned by the Reporting Persons.

F2: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Common StockSEC Table I · non-derivativeDirect715,640 Reported balance Holding disclosure · report date 2005-11-07 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 715,640

F1: Number of shares reflects a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005.

F2: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Series B Participating Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2005-11-07 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2005-11-07 · Conversion · Disposed 2,923,366 · Balance 0

F3: In connection with the closing of the Issuer's initial public offering, each share of Series B Participating Preferred Stock converted automatically into 0.3702 shares of Issuer's Common Stock, after giving effect to a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005. At the time of conversion, there were $1,276,186 accrued but unpaid dividends on the Series B Participating Preferred Stock beneficially owned by the Reporting Persons.

F4: None.

F1: Number of shares reflects a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005.

F2: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Filing footnotes · ownership attribution and instrument terms

F1: Number of shares reflects a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005.

F2: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

F3: In connection with the closing of the Issuer's initial public offering, each share of Series B Participating Preferred Stock converted automatically into 0.3702 shares of Issuer's Common Stock, after giving effect to a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005. At the time of conversion, there were $1,276,186 accrued but unpaid dividends on the Series B Participating Preferred Stock beneficially owned by the Reporting Persons.

F4: None.

CONTROL4 CORP

Report date August 07, 2013 · Filed August 09, 2013

Section 16 reporting ended · disclosed 2013-08-09. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,689,396 Ending reported balance After 2013-08-07 transaction · row 5
5 source rows · reconciled sequence

Row 1 · 2013-08-07 · Conversion · Acquired 1,510,981 · Balance 1,510,981

F1: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

Row 2 · 2013-08-07 · Other · Acquired 402,928 · Balance 1,913,909

F2: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

Row 3 · 2013-08-07 · Sale · Disposed 250,000 · Balance 1,663,909

F2: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

Row 4 · 2013-08-07 · Other · Acquired 67,154 · Balance 1,731,063

F3: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

Row 5 · 2013-08-07 · Sale · Disposed 41,667 · Balance 1,689,396

F3: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

Series H Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2013-08-07 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2013-08-07 · Conversion · Disposed 1,510,981 · Balance 0

F1: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

F4: None.

Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.93Direct0 Reported balance After 2013-08-07 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2013-08-07 · Other · Disposed 402,928 · Balance 0

F2: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

F5: This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) January 21, 2014.

Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.93Direct0 Reported balance After 2013-08-07 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2013-08-07 · Other · Disposed 67,154 · Balance 0

F3: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

F6: This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) February 15, 2014.

Filing footnotes · ownership attribution and instrument terms

F1: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

F2: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

F3: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

F4: None.

F5: This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) January 21, 2014.

F6: This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) February 15, 2014.

LUMERA CORP

Report date July 28, 2004 · Filed July 29, 2004

Section 16 reporting ended · disclosed 2004-07-29. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect974,438 Reported balance After 2004-07-28 transaction · row 1
1 source row

Row 1 · 2004-07-28 · Conversion · Acquired 974,438 · Balance 974,438

F1: Each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration.

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2004-07-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2004-07-28 · Conversion · Disposed 857,500 · Balance 0

F1: Each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration.

MAVENIR SYSTEMS INC

Report date November 13, 2013 · Filed November 16, 2013

Jointly reported with Cisco Systems International B.V.

Section 16 reporting ended · disclosed 2013-11-16. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,135,945 Last balance in matching sequence After 2013-11-13 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2013-11-13 · Conversion · Acquired 898,284 · Balance 898,284

F1: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F4: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Row 2 · 2013-11-13 · Conversion · Acquired 136,885 · Balance 1,035,169

F2: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F4: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Row 3 · 2013-11-13 · Conversion · Acquired 100,776 · Balance 1,135,945

F3: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F4: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Series C Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2013-11-13 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2013-11-13 · Conversion · Disposed 6,287,989 · Balance 0

F1: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F4: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Series D Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2013-11-13 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2013-11-13 · Conversion · Disposed 958,195 · Balance 0

F2: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F4: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Series E Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2013-11-13 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2013-11-13 · Conversion · Disposed 705,436 · Balance 0

F3: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F4: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Filing footnotes · ownership attribution and instrument terms

F1: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F2: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F3: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F4: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

MULESOFT, INC

Report date March 22, 2017 · Filed March 22, 2017

Section 16 reporting ended · disclosed 2017-03-22. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series F Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2017-03-22 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2017-03-22 · Conversion · Disposed 153,045 · Balance 0

F1: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

Series G Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2017-03-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2017-03-22 · Conversion · Disposed 1,336,033 · Balance 0

F1: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

Class B Common StockSEC Table II · derivative / convertible securityDirect1,489,078 Reported balance After 2017-03-22 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2017-03-22 · Conversion · Disposed 1,489,078 · Balance 1,489,078

F2: The Class B Common Stock is convertible at the holder's election into Class A Common Stock on a 1-for-1 basis and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain transfers described in the issuer's certificate of incorporation.

Filing footnotes · ownership attribution and instrument terms

F1: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

F2: The Class B Common Stock is convertible at the holder's election into Class A Common Stock on a 1-for-1 basis and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain transfers described in the issuer's certificate of incorporation.

VOCERA COMMUNICATIONS, INC.

Report date April 02, 2012 · Filed April 04, 2012

Section 16 reporting ended · disclosed 2012-04-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect609,473 Reported balance After 2012-04-02 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2012-04-02 · Conversion · Acquired 609,473 · Balance 609,473

F1: Number of shares reflects a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F2: In connection with the closing of the Issuer's initial public offering on April 2, 2012, each share of Series D Preferred Stock automatically converted into one-sixth of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

Common StockSEC Table I · non-derivativeDirect5,898 Reported balance After 2012-04-02 transaction · row 2 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 2 · 2012-04-02 · Sale · Disposed 603,575 · Balance 5,898

F3: Shares sold as part of the initial public offering, including 302,334 shares sold as part of the exercise of the underwriters' over-allotment option.

Series D Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2012-03-27 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2012-03-27 · Conversion · Disposed 3,656,838 · Balance 0

F2: In connection with the closing of the Issuer's initial public offering on April 2, 2012, each share of Series D Preferred Stock automatically converted into one-sixth of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F4: None.

F1: Number of shares reflects a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

Filing footnotes · ownership attribution and instrument terms

F1: Number of shares reflects a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F2: In connection with the closing of the Issuer's initial public offering on April 2, 2012, each share of Series D Preferred Stock automatically converted into one-sixth of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F3: Shares sold as part of the initial public offering, including 302,334 shares sold as part of the exercise of the underwriters' over-allotment option.

F4: None.

Transaction history

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionSeries H Convertible Preferred Stock · Derivative 265,064 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · derivative · entry 14

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 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 · 26,506 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.

F7 · derivative.exercise_price: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F7 · shares: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F7 · price: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F7 · derivative.exercise_date: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F7 · derivative.expiration_date: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F7 · derivative.underlying_shares: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F9 · ownership.direct: Cisco directly beneficially owns the reported securities.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionSeries G Convertible Preferred Stock · Derivative 217,490 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · derivative · entry 13

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 0

Underlying: Common Stock · 21,749 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 · derivative.exercise_price: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F6 · shares: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F6 · price: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F6 · derivative.exercise_date: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F6 · derivative.expiration_date: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F6 · derivative.underlying_shares: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionSeries F Convertible Preferred Stock · Derivative 538,793 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · derivative · entry 12

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 0

Underlying: Common Stock · 53,879 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: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F5 · shares: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F5 · price: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F5 · derivative.exercise_date: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F5 · derivative.expiration_date: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F5 · derivative.underlying_shares: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionSeries E Convertible Preferred Stock · Derivative 931,914 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · derivative · entry 11

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 0

Underlying: Common Stock · 93,191 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: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F4 · shares: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F4 · price: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F4 · derivative.exercise_date: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F4 · derivative.expiration_date: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F4 · derivative.underlying_shares: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionSeries D Convertible Preferred Stock · Derivative 1,873,110 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · derivative · entry 10

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 0

Underlying: Common Stock · 187,311 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: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F3 · shares: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F3 · price: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F3 · derivative.exercise_date: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F3 · derivative.expiration_date: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F3 · derivative.underlying_shares: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionSeries B Convertible Preferred Stock · Derivative 465,056 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · derivative · entry 9

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 0

Underlying: Common Stock · 46,505 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.

F2 · derivative.exercise_price: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F2 · shares: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F2 · price: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.exercise_date: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.expiration_date: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F2 · derivative.underlying_shares: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionSeries A Convertible Preferred Stock · Derivative 2,436,351 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · derivative · entry 8

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 0

Underlying: Common Stock · 243,635 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: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F1 · shares: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F1 · price: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionCommon Stock 26,506 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · nonDerivative · entry 7

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,506

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.

F7 · price: On November 7, 2017, each ten (10) shares of Series H Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Convertible Preferred Stock had no expiration date.

F9 · ownership.direct: Cisco directly beneficially owns the reported securities.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionCommon Stock 21,749 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · nonDerivative · entry 6

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 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: 21,749

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 · price: On November 7, 2017, each ten (10) shares of Series G Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series G Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionCommon Stock 53,879 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · nonDerivative · entry 5

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 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: 53,879

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: On November 7, 2017, each ten (10) shares of Series F Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series F Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionCommon Stock 93,191 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · nonDerivative · entry 4

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 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: 93,191

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: On November 7, 2017, each ten (10) shares of Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series E Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionCommon Stock 187,311 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · nonDerivative · entry 3

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 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: 187,311

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: On November 7, 2017, each ten (10) shares of Series D Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionCommon Stock 46,505 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · nonDerivative · entry 2

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 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: 46,505

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.

F2 · price: On November 7, 2017, each ten (10) shares of Series B Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series B Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
November 07, 2017 Filed Nov 7, 2017 22:16 UTC AQUANTIA CORP AQ · Entity 12241 ConversionCommon Stock 243,635 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-041448 · doc1.xml · nonDerivative · entry 1

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

Cisco Systems International B.V. · CIK 0001345837 · 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: 243,635

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: On November 7, 2017, each ten (10) shares of Series A Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series A Convertible Preferred Stock had no expiration date.

F8 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole owner of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V. Cisco Systems International B.V.

Read SEC document
March 22, 2017 Filed Mar 22, 2017 22:09 UTC MULESOFT, INC MULE · Entity 12294 ConversionClass B Common Stock · Derivative 1,489,078 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-012960 · doc1.xml · derivative · entry 3

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,489,078

Underlying: Class A Common Stock · 1,489,078 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.

F2 · derivative.exercise_price: The Class B Common Stock is convertible at the holder's election into Class A Common Stock on a 1-for-1 basis and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain transfers described in the issuer's certificate of incorporation.

F2 · price: The Class B Common Stock is convertible at the holder's election into Class A Common Stock on a 1-for-1 basis and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain transfers described in the issuer's certificate of incorporation.

F2 · derivative.exercise_date: The Class B Common Stock is convertible at the holder's election into Class A Common Stock on a 1-for-1 basis and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain transfers described in the issuer's certificate of incorporation.

F2 · derivative.expiration_date: The Class B Common Stock is convertible at the holder's election into Class A Common Stock on a 1-for-1 basis and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain transfers described in the issuer's certificate of incorporation.

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March 22, 2017 Filed Mar 22, 2017 22:09 UTC MULESOFT, INC MULE · Entity 12294 ConversionSeries G Convertible Preferred Stock · Derivative 1,336,033 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-012960 · doc1.xml · derivative · entry 2

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 1,336,033 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 convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

F1 · price: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

Read SEC document
March 22, 2017 Filed Mar 22, 2017 22:09 UTC MULESOFT, INC MULE · Entity 12294 ConversionSeries F Convertible Preferred Stock · Derivative 153,045 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-17-012960 · doc1.xml · derivative · entry 1

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 153,045 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 convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

F1 · price: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

F1 · derivative.exercise_date: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

F1 · derivative.expiration_date: The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.

Read SEC document
November 13, 2013 Filed Nov 16, 2013 00:20 UTC MAVENIR SYSTEMS INC MVNR · Entity 12663 ConversionSeries E Preferred Stock · Derivative 705,436 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-13-043241 · doc1.xml · derivative · entry 6

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

CISCO SYSTEMS, INC. · CIK 0000858877 · 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 · 100,776 shares

Expires not disclosed

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

F3 · derivative.exercise_price: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F3 · price: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F3 · derivative.exercise_date: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F3 · derivative.expiration_date: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F3 · derivative.underlying_shares: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F4 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Read SEC document
November 13, 2013 Filed Nov 16, 2013 00:20 UTC MAVENIR SYSTEMS INC MVNR · Entity 12663 ConversionSeries D Preferred Stock · Derivative 958,195 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-13-043241 · doc1.xml · derivative · entry 5

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

CISCO SYSTEMS, INC. · CIK 0000858877 · 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 · 136,885 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.

F2 · derivative.exercise_price: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F2 · price: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F2 · derivative.exercise_date: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F2 · derivative.expiration_date: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F2 · derivative.underlying_shares: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F4 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Read SEC document
November 13, 2013 Filed Nov 16, 2013 00:20 UTC MAVENIR SYSTEMS INC MVNR · Entity 12663 ConversionSeries C Preferred Stock · Derivative 6,287,989 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-13-043241 · doc1.xml · derivative · entry 4

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

CISCO SYSTEMS, INC. · CIK 0000858877 · 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 · 898,284 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F1 · price: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F1 · derivative.exercise_date: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F1 · derivative.expiration_date: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F4 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Read SEC document
November 13, 2013 Filed Nov 16, 2013 00:20 UTC MAVENIR SYSTEMS INC MVNR · Entity 12663 ConversionCommon Stock 100,776 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-13-043241 · doc1.xml · nonDerivative · entry 3

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,135,945

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: On November 13, 2013, each share of Series E Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series E Preferred Stock had no expiration date.

F4 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

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November 13, 2013 Filed Nov 16, 2013 00:20 UTC MAVENIR SYSTEMS INC MVNR · Entity 12663 ConversionCommon Stock 136,885 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-13-043241 · doc1.xml · nonDerivative · entry 2

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,035,169

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.

F2 · price: On November 13, 2013, each share of Series D Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series D Preferred Stock had no expiration date.

F4 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Read SEC document
November 13, 2013 Filed Nov 16, 2013 00:20 UTC MAVENIR SYSTEMS INC MVNR · Entity 12663 ConversionCommon Stock 898,284 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-13-043241 · doc1.xml · nonDerivative · entry 1

Cisco Systems International B.V. · CIK 0001345837 · 10% owner

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 898,284

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: On November 13, 2013, each share of Series C Preferred Stock automatically converted into one-seventh of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-7 reverse stock split effected by the Issuer immediately prior to the closing of the Issuer's initial public offering of Common Stock. The Series C Preferred Stock had no expiration date.

F4 · ownership.direct: Cisco Systems International B.V. (Cisco International B.V.) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) indirectly owns 100% of the outstanding securities of Cisco International B.V. and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities beneficially owned by Cisco International B.V.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 OtherCommon Stock Warrant (right to buy) · Derivative 67,154 $0.00 Strike: $9.93 $0.00
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · derivative · entry 8

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,154 shares

Expires not disclosed

F3 · derivative.exercise_price: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

F3 · shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

F6 · derivative.expiration_date: This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) February 15, 2014.

F3 · derivative.underlying_shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 OtherCommon Stock Warrant (right to buy) · Derivative 402,928 $0.00 Strike: $9.93 $0.00
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · derivative · entry 7

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 402,928 shares

Expires not disclosed

F2 · derivative.exercise_price: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

F2 · shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

F5 · derivative.expiration_date: This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) January 21, 2014.

F2 · derivative.underlying_shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 ConversionSeries H Preferred Stock · Derivative 1,510,981 $0.00 $0.00
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · derivative · entry 6

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,510,981 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: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

F1 · shares: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

F1 · derivative.exercise_date: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

F4 · derivative.expiration_date: None.

F1 · derivative.underlying_shares: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 SaleCommon Stock 41,667 $16.00 $666,672.00
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · nonDerivative · entry 5

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,689,396

F3 · kind: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

F3 · shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

F3 · price: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 OtherCommon Stock 67,154 $9.93 $666,657.90
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · nonDerivative · entry 4

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,731,063

F3 · shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

F3 · price: On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 SaleCommon Stock 250,000 $16.00 $4,000,000.00
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · nonDerivative · entry 3

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,663,909

F2 · kind: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

F2 · shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

F2 · price: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 OtherCommon Stock 402,928 $9.93 $3,999,987.13
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · nonDerivative · entry 2

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,913,909

F2 · shares: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

F2 · price: On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares.

Read SEC document
August 07, 2013 Filed Aug 9, 2013 20:43 UTC CONTROL4 CORP CTRL · Entity 12684 ConversionCommon Stock 1,510,981 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-13-031494 · doc1.xml · nonDerivative · entry 1

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,510,981

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

F1 · shares: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

F1 · price: On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:45 UTC VOCERA COMMUNICATIONS, INC. VCRA · Entity 12917 SaleCommon Stock 603,575 $14.88 $8,981,196.00
Disclosure

SEC source: 0001140361-12-019234 · doc1.xml · nonDerivative · entry 2

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,898

F3 · shares: Shares sold as part of the initial public offering, including 302,334 shares sold as part of the exercise of the underwriters' over-allotment option.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:45 UTC VOCERA COMMUNICATIONS, INC. VCRA · Entity 12917 ConversionCommon Stock 609,473 Not disclosed Not disclosed
Disclosure

SEC source: 0001140361-12-019234 · doc1.xml · nonDerivative · entry 1

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 609,473

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

F1 · shares: Number of shares reflects a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F2 · price: In connection with the closing of the Issuer's initial public offering on April 2, 2012, each share of Series D Preferred Stock automatically converted into one-sixth of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F1 · balance_after: Number of shares reflects a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

Read SEC document
March 27, 2012 Filed Apr 4, 2012 20:45 UTC VOCERA COMMUNICATIONS, INC. VCRA · Entity 12917 ConversionSeries D Preferred Stock · Derivative 3,656,838 $0.00 $0.00
Disclosure

SEC source: 0001140361-12-019234 · doc1.xml · derivative · entry 3

CISCO SYSTEMS, INC. · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 609,473 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.

F2 · derivative.exercise_price: In connection with the closing of the Issuer's initial public offering on April 2, 2012, each share of Series D Preferred Stock automatically converted into one-sixth of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F2 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering on April 2, 2012, each share of Series D Preferred Stock automatically converted into one-sixth of one share of Issuer's Common Stock for no additional consideration, after giving effect to a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

F4 · derivative.expiration_date: None.

F1 · derivative.underlying_shares: Number of shares reflects a 1-for-6 reverse stock split effected by the Issuer on March 26, 2012.

Read SEC document
November 07, 2005 Filed Nov 9, 2005 02:39 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 ConversionSeries B Participating Preferred Stock · Derivative 2,923,366 $0.00 $0.00
Disclosure

SEC source: 0001005477-05-003866 · edgar123.xml · derivative · entry 3

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,082,358 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: In connection with the closing of the Issuer's initial public offering, each share of Series B Participating Preferred Stock converted automatically into 0.3702 shares of Issuer's Common Stock, after giving effect to a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005. At the time of conversion, there were $1,276,186 accrued but unpaid dividends on the Series B Participating Preferred Stock beneficially owned by the Reporting Persons.

F3 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of Series B Participating Preferred Stock converted automatically into 0.3702 shares of Issuer's Common Stock, after giving effect to a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005. At the time of conversion, there were $1,276,186 accrued but unpaid dividends on the Series B Participating Preferred Stock beneficially owned by the Reporting Persons.

F4 · derivative.expiration_date: None.

F1 · derivative.underlying_shares: Number of shares reflects a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Read SEC document
November 07, 2005 Filed Nov 9, 2005 02:39 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 ConversionCommon Stock 1,082,358 Not disclosed Not disclosed
Disclosure

SEC source: 0001005477-05-003866 · edgar123.xml · nonDerivative · entry 2

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,797,998

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

F1 · shares: Number of shares reflects a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005.

F3 · price: In connection with the closing of the Issuer's initial public offering, each share of Series B Participating Preferred Stock converted automatically into 0.3702 shares of Issuer's Common Stock, after giving effect to a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005. At the time of conversion, there were $1,276,186 accrued but unpaid dividends on the Series B Participating Preferred Stock beneficially owned by the Reporting Persons.

F1 · balance_after: Number of shares reflects a 1-for-3.88 reverse stock split effected by the Issuer on November 7, 2005.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Read SEC document
November 01, 2005 Filed Nov 3, 2005 02:24 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 OtherCommon Stock Warrant (Right to Buy) · Derivative 24,969 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001005477-05-003774 · edgar123.xml · derivative · entry 6

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 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 · 24,969 shares

Expires 2010-03-31

F1 · derivative.exercise_price: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · derivative.underlying_shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Read SEC document
November 01, 2005 Filed Nov 3, 2005 02:24 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 OtherCommon Stock Warrant (Right to Buy) · Derivative 2,768,744 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001005477-05-003774 · edgar123.xml · derivative · entry 5

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,768,744 shares

Expires 2010-03-31

F1 · derivative.exercise_price: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · derivative.underlying_shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

Read SEC document
November 01, 2005 Filed Nov 3, 2005 02:24 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 SaleCommon Stock 8,074 $3.09 $24,971.27
Disclosure

SEC source: 0001005477-05-003774 · edgar123.xml · nonDerivative · entry 4

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,776,686

F1 · shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · price: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · balance_after: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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November 01, 2005 Filed Nov 3, 2005 02:24 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 OtherCommon Stock 24,969 $1.00 $24,969.00
Disclosure

SEC source: 0001005477-05-003774 · edgar123.xml · nonDerivative · entry 3

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,784,760

F1 · shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · price: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · balance_after: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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November 01, 2005 Filed Nov 3, 2005 02:24 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 SaleCommon Stock 8,953 $3.09 $27,689.84
Disclosure

SEC source: 0001005477-05-003774 · edgar123.xml · nonDerivative · entry 2

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,759,791

F1 · shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · price: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · balance_after: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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November 01, 2005 Filed Nov 3, 2005 02:24 UTC CBEYOND COMMUNICATIONS INC CBEY · Entity 13809 OtherCommon Stock 2,768,744 $0.01 $27,687.44
Disclosure

SEC source: 0001005477-05-003774 · edgar123.xml · nonDerivative · entry 1

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,768,744

F1 · shares: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · price: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F1 · balance_after: Number of shares and exercise price do not reflect a 1-for-3.88 reverse stock split to be effected in connection with the Issuer's initial public offering.

F2 · ownership.direct: Cisco Systems Capital Corporation (Cisco Capital) directly beneficially owns the reported securities. Cisco Systems, Inc. (Cisco) is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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February 15, 2005 Filed Feb 17, 2005 21:39 UTC COGENT COMMUNICATIONS HOLDINGS, INC. COI · Entity 1298 ConversionSeries F Participating Convertible Preferred Stock · Derivative 11,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001005477-05-000620 · edgar123.xml · derivative · entry 4

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Cisco

Disclosed balance after: 0

Underlying: Common Stock · 68,199,713 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 Series F Participating Convertible Preferred Stock, par value $0.001 per share, converts into 6,199.974 shares of Common Stock.

F1 · price: Not applicable.

F4 · derivative.exercise_date: Immediately convertible.

F1 · derivative.expiration_date: Not applicable.

F3 · derivative.underlying_shares: Each share of Series F Participating Convertible Preferred Stock, par value $0.001 per share, converts into 6,199.974 shares of Common Stock.

F2 · ownership.nature: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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February 15, 2005 Filed Feb 17, 2005 21:39 UTC COGENT COMMUNICATIONS HOLDINGS, INC. COI · Entity 1298 ConversionSeries F Participating Convertible Preferred Stock · Derivative 11,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001005477-05-000620 · edgar123.xml · derivative · entry 3

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 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 · 68,199,713 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 Series F Participating Convertible Preferred Stock, par value $0.001 per share, converts into 6,199.974 shares of Common Stock.

F1 · price: Not applicable.

F4 · derivative.exercise_date: Immediately convertible.

F1 · derivative.expiration_date: Not applicable.

F3 · derivative.underlying_shares: Each share of Series F Participating Convertible Preferred Stock, par value $0.001 per share, converts into 6,199.974 shares of Common Stock.

F2 · ownership.direct: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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February 15, 2005 Filed Feb 17, 2005 21:39 UTC COGENT COMMUNICATIONS HOLDINGS, INC. COI · Entity 1298 ConversionCommon Stock 68,199,713 Not disclosed Not disclosed
Disclosure

SEC source: 0001005477-05-000620 · edgar123.xml · nonDerivative · entry 2

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Cisco

Disclosed balance after: 68,199,713

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: Not applicable.

F2 · ownership.nature: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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February 15, 2005 Filed Feb 17, 2005 21:39 UTC COGENT COMMUNICATIONS HOLDINGS, INC. COI · Entity 1298 ConversionCommon Stock 68,199,713 Not disclosed Not disclosed
Disclosure

SEC source: 0001005477-05-000620 · edgar123.xml · nonDerivative · entry 1

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,199,713

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: Not applicable.

F2 · ownership.direct: Cisco Systems Capital Corporation ("Cisco Capital") directly holds the reported securities. Cisco Systems, Inc. ("Cisco") is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecunairy interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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July 28, 2004 Filed Jul 29, 2004 00:02 UTC LUMERA CORP LMRA · Entity 14015 ConversionSeries A Preferred Stock · Derivative 857,500 $0.00 $0.00
Disclosure

SEC source: 0001181431-04-037517 · rrd48970.xml · derivative · entry 2

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 974,438 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 Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration.

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July 28, 2004 Filed Jul 29, 2004 00:02 UTC LUMERA CORP LMRA · Entity 14015 ConversionCommon Stock 974,438 Not disclosed Not disclosed
Disclosure

SEC source: 0001181431-04-037517 · rrd48970.xml · nonDerivative · entry 1

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 974,438

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

F1 · price: Each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration.

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July 31, 2003 Filed Feb 17, 2005 21:38 UTC COGENT COMMUNICATIONS HOLDINGS, INC. COI · Entity 1298 OtherCommon Stock Subscription Warrant (Right to Buy) · Derivative 487,465 Not disclosed Strike: $12.50 Not disclosed
Disclosure

SEC source: 0001005477-05-000619 · edgar123.xml · derivative · entry 8

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Cisco

Disclosed balance after: 0

Underlying: Common Stock · 487,465 shares

Expires 2009-10-24

F4 · kind: On June 26, 2003, the Issuer and its related entities entered into an exchange agreement with the Reporting Persons, Cisco Systems Capital Corporation ("Cisco Capital") and Cisco Systems, Inc. ("Cisco"), pursuant to which the Reporting persons agreed to cancel approximately $263 million in principal amount of indebtedness plus accrued interest owed by the Issuer to Cisco Capital and return each of the Common Stock Subscription Warrants listed herein in exchange for a cash payment by the Issuer of $20 million, the shares of the Issuer's Series F Participating Convertible Preferred Stock listed herein, and a promissory note issued by the Issuer for the aggregate principal amount of $17 million. The Issuer's stockholders approved the foregoing actions on June 26, 2003.

F4 · price: On June 26, 2003, the Issuer and its related entities entered into an exchange agreement with the Reporting Persons, Cisco Systems Capital Corporation ("Cisco Capital") and Cisco Systems, Inc. ("Cisco"), pursuant to which the Reporting persons agreed to cancel approximately $263 million in principal amount of indebtedness plus accrued interest owed by the Issuer to Cisco Capital and return each of the Common Stock Subscription Warrants listed herein in exchange for a cash payment by the Issuer of $20 million, the shares of the Issuer's Series F Participating Convertible Preferred Stock listed herein, and a promissory note issued by the Issuer for the aggregate principal amount of $17 million. The Issuer's stockholders approved the foregoing actions on June 26, 2003.

F3 · derivative.exercise_date: Not applicable.

F5 · ownership.nature: Cisco Capital directly holds the reported securities. Cisco is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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July 31, 2003 Filed Feb 17, 2005 21:38 UTC COGENT COMMUNICATIONS HOLDINGS, INC. COI · Entity 1298 OtherCommon Stock Subscription Warrant (Right to Buy) · Derivative 487,465 Not disclosed Strike: $12.50 Not disclosed
Disclosure

SEC source: 0001005477-05-000619 · edgar123.xml · derivative · entry 7

Cisco Systems Capital CORP · CIK 0001316387 · 10% owner

CISCO SYSTEMS INC · CIK 0000858877 · 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 · 487,465 shares

Expires 2009-10-24

F4 · kind: On June 26, 2003, the Issuer and its related entities entered into an exchange agreement with the Reporting Persons, Cisco Systems Capital Corporation ("Cisco Capital") and Cisco Systems, Inc. ("Cisco"), pursuant to which the Reporting persons agreed to cancel approximately $263 million in principal amount of indebtedness plus accrued interest owed by the Issuer to Cisco Capital and return each of the Common Stock Subscription Warrants listed herein in exchange for a cash payment by the Issuer of $20 million, the shares of the Issuer's Series F Participating Convertible Preferred Stock listed herein, and a promissory note issued by the Issuer for the aggregate principal amount of $17 million. The Issuer's stockholders approved the foregoing actions on June 26, 2003.

F4 · price: On June 26, 2003, the Issuer and its related entities entered into an exchange agreement with the Reporting Persons, Cisco Systems Capital Corporation ("Cisco Capital") and Cisco Systems, Inc. ("Cisco"), pursuant to which the Reporting persons agreed to cancel approximately $263 million in principal amount of indebtedness plus accrued interest owed by the Issuer to Cisco Capital and return each of the Common Stock Subscription Warrants listed herein in exchange for a cash payment by the Issuer of $20 million, the shares of the Issuer's Series F Participating Convertible Preferred Stock listed herein, and a promissory note issued by the Issuer for the aggregate principal amount of $17 million. The Issuer's stockholders approved the foregoing actions on June 26, 2003.

F3 · derivative.exercise_date: Not applicable.

F5 · ownership.direct: Cisco Capital directly holds the reported securities. Cisco is the sole shareholder of Cisco Capital and as such may be deemed to be an indirect beneficial owner of the reported securities. Except to the extent of any indirect pecuniary interest therein, Cisco disclaims beneficial ownership of the securities held by Cisco Capital.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.