Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Klaviyo, Inc.KVYO · Entity 3775 | 10% owner | April 09, 2025 | April 10, 2025 |
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.
Klaviyo, Inc.
Report date April 09, 2025 · Filed April 10, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series A Common StockSEC Table I · non-derivative | IndirectBy Leno2, LLC | 3,900 |
Reported balance
After 2025-04-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-04-09 · Purchase · Acquired 3,900 · Balance 3,900 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.52 to $25.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F2: Shares held by Leno2, LLC, an entity controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. |
| Series A Common StockSEC Table I · non-derivative | IndirectBy Tailwater Investments, LLC | 23,000 |
Reported balance
Holding disclosure · report date 2025-04-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 23,000 F3: Shares held by Tailwater Investments, LLC, an entity wholly owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. |
| Series A Common StockSEC Table I · non-derivative | IndirectSee footnote | 44.036 |
Reported balance
Holding disclosure · report date 2025-04-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 44.036 F4: Shares held by an immediate family member. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. |
| Series A Common StockSEC Table I · non-derivative | IndirectBy Accomplice Fund I, L.P. | 26,720 |
Reported balance
Holding disclosure · report date 2025-04-09 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 26,720 F5: Shares held by Accomplice Fund I, L.P. Accomplice Associates I, LLC is the general partner of Accomplice Fund I, L.P. The Reporting Person is the Class A Member of Accomplice Associates I, LLC. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.52 to $25.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.
F2: Shares held by Leno2, LLC, an entity controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose.
F3: Shares held by Tailwater Investments, LLC, an entity wholly owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose.
F4: Shares held by an immediate family member. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose.
F5: Shares held by Accomplice Fund I, L.P. Accomplice Associates I, LLC is the general partner of Accomplice Fund I, L.P. The Reporting Person is the Class A Member of Accomplice Associates I, LLC. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Carbon Black, Inc.
Report date October 08, 2019 · Filed October 08, 2019
Section 16 reporting ended · disclosed 2019-10-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-10-08 transaction · row 1
1 source rowRow 1 · 2019-10-08 · Disposition to issuer · Disposed 15,382 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F2: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each unvested Company RSU held by a Continuing Employee (i.e., an employee of the Company or any of its subsidiaries who remains an employee of VMware or its subsidiaries or who does not accept an offer of employment from VMware but has not been affirmatively terminated) and remained outstanding immediately prior to the Effective Time was substituted with a RSU covering Parent Common Stock (a "Parent RSU"). The number of shares of Class A Common Stock of Parent ("Parent Common Stock") subject to a Parent RSU was determined by multiplying the number of Shares subject to the Company RSU immediately prior to the Effective Time by the Option Exchange Ratio (as defined in the Merger Agreement) and rounding down to the nearest whole share of Parent Common Stock. F3: Parent RSUs will continue to have, and be subject to, substantially the same material terms and conditions as were applicable to the Company RSUs as of immediately prior to the Effective Time. All Company RSUs not substituted as of the Effective Time were canceled at the Effective Time without payment of any consideration; provided, that any Company RSU that was vested, but not settled, as of the Effective Time was cancelled in exchange for payment to the holder of such Company RSU of an amount in cash equal to the Merger Consideration. |
| Common StockSEC Table I · non-derivative | IndirectBy Atlas Venture Fund VI, L.P. | 0 |
Reported balance
After 2019-10-08 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-10-08 · Disposition to issuer · Disposed 9,365,231 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F4: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Atlas Venture Entrepreneurs' Fund VI, L.P. | 0 |
Reported balance
After 2019-10-08 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2019-10-08 · Disposition to issuer · Disposed 286,392 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F5: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Atlas Venture Fund VI GmbH & Co. KG | 0 |
Reported balance
After 2019-10-08 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2019-10-08 · Disposition to issuer · Disposed 171,480 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F6: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Atlas Venture Fund IX, L.P. | 0 |
Reported balance
After 2019-10-08 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2019-10-08 · Disposition to issuer · Disposed 181,273 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F7: The shares are held directly by Atlas Venture Fund IX, L.P. ("AVF IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of AVF IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Mr. Fagnan is a member of AVA IX LP. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Accom B9F Investors, LLC | 0 |
Reported balance
After 2019-10-08 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2019-10-08 · Disposition to issuer · Disposed 21,079 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F8: The shares are held directly by Accom B9F Investors, LLC ("AB9F"). Mr. Fagnan is a member of AB9F. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Accomplice CB Investors, LLC | 0 |
Reported balance
After 2019-10-08 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 7 · 2019-10-08 · Disposition to issuer · Disposed 174,500 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F9: The shares are held directly by Accomplice CB Investors, LLC ("ACBI"). Mr. Fagnan is a member of ACBI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.
F2: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each unvested Company RSU held by a Continuing Employee (i.e., an employee of the Company or any of its subsidiaries who remains an employee of VMware or its subsidiaries or who does not accept an offer of employment from VMware but has not been affirmatively terminated) and remained outstanding immediately prior to the Effective Time was substituted with a RSU covering Parent Common Stock (a "Parent RSU"). The number of shares of Class A Common Stock of Parent ("Parent Common Stock") subject to a Parent RSU was determined by multiplying the number of Shares subject to the Company RSU immediately prior to the Effective Time by the Option Exchange Ratio (as defined in the Merger Agreement) and rounding down to the nearest whole share of Parent Common Stock.
F3: Parent RSUs will continue to have, and be subject to, substantially the same material terms and conditions as were applicable to the Company RSUs as of immediately prior to the Effective Time. All Company RSUs not substituted as of the Effective Time were canceled at the Effective Time without payment of any consideration; provided, that any Company RSU that was vested, but not settled, as of the Effective Time was cancelled in exchange for payment to the holder of such Company RSU of an amount in cash equal to the Merger Consideration.
F4: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F5: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F6: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F7: The shares are held directly by Atlas Venture Fund IX, L.P. ("AVF IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of AVF IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Mr. Fagnan is a member of AVA IX LP. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F8: The shares are held directly by Accom B9F Investors, LLC ("AB9F"). Mr. Fagnan is a member of AB9F. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F9: The shares are held directly by Accomplice CB Investors, LLC ("ACBI"). Mr. Fagnan is a member of ACBI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 09, 2025 Filed Apr 10, 2025 16:30 UTC | Klaviyo, Inc. KVYO · Entity 3775 | PurchaseSeries A Common Stock | 3,900 | $25.77 | $100,503.00 |
DisclosureSEC source: 0001104659-25-033779 · tm2512058-1_4seq1.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Leno2, LLC Disclosed balance after: 3,900 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.52 to $25.62, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F2 · ownership.nature: Shares held by Leno2, LLC, an entity controlled by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| November 13, 2024 Filed Nov 14, 2024 16:00 UTC | Klaviyo, Inc. KVYO · Entity 3775 | PurchaseSeries A Common Stock | 13,515 | $37.14 | $501,921.42 |
DisclosureSEC source: 0001104659-24-118852 · tm2428505-1_4seq1.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Tailwater Investments, LLC Disclosed balance after: 23,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.0650 to $37.2000, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F2 · ownership.nature: Shares held by Tailwater Investments, LLC, an entity wholly owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| August 12, 2024 Filed Nov 14, 2024 16:00 UTC | Klaviyo, Inc. KVYO · Entity 3775 | OtherSeries A Common Stock | 1.887 | $31.80 | $60.00 |
DisclosureSEC source: 0001104659-24-118852 · tm2428505-1_4seq1.xml · nonDerivative · entry 3 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 44.036 F3 · ownership.nature: Shares held by an immediate family member. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| August 09, 2024 Filed Nov 14, 2024 16:00 UTC | Klaviyo, Inc. KVYO · Entity 3775 | OtherSeries A Common Stock | 5.002 | $29.99 | $150.00 |
DisclosureSEC source: 0001104659-24-118852 · tm2428505-1_4seq1.xml · nonDerivative · entry 2 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 42.149 F3 · ownership.nature: Shares held by an immediate family member. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| August 01, 2024 Filed Aug 2, 2024 10:32 UTC | Klaviyo, Inc. KVYO · Entity 3775 | PurchaseSeries A Common Stock | 9,485 | $26.43 | $250,722.70 |
DisclosureSEC source: 0001104659-24-085195 · tm2420734-1_4seq1.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Tailwater Investments, LLC Disclosed balance after: 9,485 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $26.3350 to $26.4399, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F2 · ownership.nature: Shares held by Tailwater Investments, LLC, an entity wholly owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| August 01, 2024 Filed Sep 5, 2024 18:44 UTC Amendment | Klaviyo, Inc. KVYO · Entity 3775 | PurchaseSeries A Common Stock | 9,485 | $26.43 | $250,722.70 |
DisclosureSEC source: 0001104659-24-097459 · tm2423481-1_4aseq1.xml · nonDerivative · entry 4 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Tailwater Investors, LLC Disclosed balance after: 9,485 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $26.3350 to $26.4399, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. F3 · ownership.nature: Shares held by Tailwater Investors, LLC, an entity wholly owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16, except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| July 16, 2024 Filed Sep 5, 2024 18:44 UTC Amendment | Klaviyo, Inc. KVYO · Entity 3775 | OtherSeries A Common Stock | 7.976 | $25.08 | $200.00 |
DisclosureSEC source: 0001104659-24-097459 · tm2423481-1_4aseq1.xml · nonDerivative · entry 3 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 37.147 F1 · ownership.nature: Shares held by an immediate family member. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| July 01, 2024 Filed Sep 5, 2024 18:44 UTC Amendment | Klaviyo, Inc. KVYO · Entity 3775 | OtherSeries A Common Stock | 8.021 | $24.81 | $199.00 |
DisclosureSEC source: 0001104659-24-097459 · tm2423481-1_4aseq1.xml · nonDerivative · entry 2 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 29.171 F1 · ownership.nature: Shares held by an immediate family member. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| June 17, 2024 Filed Sep 5, 2024 18:44 UTC Amendment | Klaviyo, Inc. KVYO · Entity 3775 | OtherSeries A Common Stock | 21.15 | $22.51 | $476.00 |
DisclosureSEC source: 0001104659-24-097459 · tm2423481-1_4aseq1.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 21.15 F1 · ownership.nature: Shares held by an immediate family member. The Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| October 23, 2023 Filed Oct 23, 2023 16:15 UTC | Klaviyo, Inc. KVYO · Entity 3775 | SaleSeries A Common Stock | 637,049 | $28.32 | $18,042,374.37 |
DisclosureSEC source: 0001628280-23-034904 · wk-form4_1698092132.xml · nonDerivative · entry 1 Accomplice Fund I, L.P. · CIK 0001636118 · 10% owner Accomplices Associates I, LLC · CIK 0001898737 · 10% owner Fagnan Jeff · CIK 0001452366 · 10% owner Moore Ryan R · CIK 0001810239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,720 F1 · kind: The shares were sold pursuant to the underwriters' partial exercise of their over-allotment option in connection with the initial public offering of the Issuer's Series A Common Stock at a net price per share of $28.3218, after underwriting discounts and commissions. Accomplice Fund I, L.P. was a selling stockholder in the initial public offering. F2 · ownership.direct: Shares held by Accomplice Fund I, L.P. Accomplice Associates I, LLC is the general partner of Accomplice Fund I, L.P. Jeff Fagnan and Ryan Moore are Class A Members of Accomplice Associates I, LLC. Each Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his or its pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| September 22, 2023 Filed Sep 22, 2023 16:06 UTC | Klaviyo, Inc. KVYO · Entity 3775 | SaleSeries A Common Stock | 1,770,049 | $28.32 | $50,130,973.77 |
DisclosureSEC source: 0001628280-23-032844 · wk-form4_1695413154.xml · nonDerivative · entry 1 Accomplice Fund I, L.P. · CIK 0001636118 · 10% owner Accomplices Associates I, LLC · CIK 0001898737 · 10% owner Fagnan Jeff · CIK 0001452366 · 10% owner Moore Ryan R · CIK 0001810239 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 663,769 F1 · kind: The shares were sold in connection with the initial public offering of the Issuer's Series A Common Stock at a net price per share of $28.3218, after underwriting discounts and commissions. Accomplice Fund I, L.P. was a selling stockholder in the initial public offering. F2 · ownership.direct: Shares held by Accomplice Fund I, L.P. Accomplice Associates I, LLC is the general partner of Accomplice Fund I, L.P. Jeff Fagnan and Ryan Moore are Class A Members of Accomplice Associates I, LLC. Each Reporting Person disclaims beneficial ownership of the shares reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), except to the extent of his or its pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 8, 2019 20:44 UTC | Carbon Black, Inc. CBLK · Entity 154518 | Disposition to issuerCommon Stock | 174,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053457 · a4.xml · nonDerivative · entry 7 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Accomplice CB Investors, LLC Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F9 · ownership.nature: The shares are held directly by Accomplice CB Investors, LLC ("ACBI"). Mr. Fagnan is a member of ACBI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 8, 2019 20:44 UTC | Carbon Black, Inc. CBLK · Entity 154518 | Disposition to issuerCommon Stock | 21,079 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053457 · a4.xml · nonDerivative · entry 6 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Accom B9F Investors, LLC Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F8 · ownership.nature: The shares are held directly by Accom B9F Investors, LLC ("AB9F"). Mr. Fagnan is a member of AB9F. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 8, 2019 20:44 UTC | Carbon Black, Inc. CBLK · Entity 154518 | Disposition to issuerCommon Stock | 181,273 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053457 · a4.xml · nonDerivative · entry 5 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund IX, L.P. Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F7 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("AVF IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of AVF IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Mr. Fagnan is a member of AVA IX LP. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 8, 2019 20:44 UTC | Carbon Black, Inc. CBLK · Entity 154518 | Disposition to issuerCommon Stock | 171,480 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053457 · a4.xml · nonDerivative · entry 4 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI GmbH & Co. KG Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F6 · ownership.nature: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 8, 2019 20:44 UTC | Carbon Black, Inc. CBLK · Entity 154518 | Disposition to issuerCommon Stock | 286,392 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053457 · a4.xml · nonDerivative · entry 3 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Entrepreneurs' Fund VI, L.P. Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F5 · ownership.nature: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 8, 2019 20:44 UTC | Carbon Black, Inc. CBLK · Entity 154518 | Disposition to issuerCommon Stock | 9,365,231 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053457 · a4.xml · nonDerivative · entry 2 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI, L.P. Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F4 · ownership.nature: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 08, 2019 Filed Oct 8, 2019 20:44 UTC | Carbon Black, Inc. CBLK · Entity 154518 | Disposition to issuerCommon Stock | 15,382 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053457 · a4.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F2 · shares: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each unvested Company RSU held by a Continuing Employee (i.e., an employee of the Company or any of its subsidiaries who remains an employee of VMware or its subsidiaries or who does not accept an offer of employment from VMware but has not been affirmatively terminated) and remained outstanding immediately prior to the Effective Time was substituted with a RSU covering Parent Common Stock (a "Parent RSU"). The number of shares of Class A Common Stock of Parent ("Parent Common Stock") subject to a Parent RSU was determined by multiplying the number of Shares subject to the Company RSU immediately prior to the Effective Time by the Option Exchange Ratio (as defined in the Merger Agreement) and rounding down to the nearest whole share of Parent Common Stock. F3 · shares: Parent RSUs will continue to have, and be subject to, substantially the same material terms and conditions as were applicable to the Company RSUs as of immediately prior to the Effective Time. All Company RSUs not substituted as of the Effective Time were canceled at the Effective Time without payment of any consideration; provided, that any Company RSU that was vested, but not settled, as of the Effective Time was cancelled in exchange for payment to the holder of such Company RSU of an amount in cash equal to the Merger Consideration. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 22, 2019, by and among Carbon Black, Inc. (the "Company"), VMWare, Inc., ("Parent"), and Calistoga Merger Corp. ("Merger Sub"), pursuant to which the Company became a direct wholly owned subsidiary of Parent (the "Merger") on October 8, 2019 (the "Effective Time"). At the Effective Time, all of the issued and outstanding shares of the Company's common stock, par value $0.001 per share (the "Shares") were cancelled and converted into a right to receive $26.00 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F2 · price: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each unvested Company RSU held by a Continuing Employee (i.e., an employee of the Company or any of its subsidiaries who remains an employee of VMware or its subsidiaries or who does not accept an offer of employment from VMware but has not been affirmatively terminated) and remained outstanding immediately prior to the Effective Time was substituted with a RSU covering Parent Common Stock (a "Parent RSU"). The number of shares of Class A Common Stock of Parent ("Parent Common Stock") subject to a Parent RSU was determined by multiplying the number of Shares subject to the Company RSU immediately prior to the Effective Time by the Option Exchange Ratio (as defined in the Merger Agreement) and rounding down to the nearest whole share of Parent Common Stock. F3 · price: Parent RSUs will continue to have, and be subject to, substantially the same material terms and conditions as were applicable to the Company RSUs as of immediately prior to the Effective Time. All Company RSUs not substituted as of the Effective Time were canceled at the Effective Time without payment of any consideration; provided, that any Company RSU that was vested, but not settled, as of the Effective Time was cancelled in exchange for payment to the holder of such Company RSU of an amount in cash equal to the Merger Consideration. Read SEC document |
| June 13, 2019 Filed Jun 14, 2019 17:07 UTC | Carbon Black, Inc. CBLK · Entity 154518 | GrantCommon Stock | 9,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-007726 · edgar.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,382 F1 · shares: The shares were acquired pursuant to a restricted stock unit award under the 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Carbon Black, Inc. common stock. The restricted stock units fully vest on June 12, 2020. Read SEC document |
| May 09, 2018 Filed Aug 6, 2018 21:33 UTC | Carbon Black, Inc. CBLK · Entity 154518 | GrantCommon Stock | 6,007 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-049959 · a4.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,007 F1 · shares: The shares were acquired pursuant to a restricted stock unit award under the 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Carbon Black, Inc. common stock. The restricted stock units vest on the earlier of (i) the first anniversary of the vesting commencement date, May 9, 2019 or (ii) the next annual meeting of the Carbon Black Inc.'s shareholders, subject to a continuous service relationship through such date. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries F Convertible Preferred Stock · Derivative | 42,158 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 20 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Accom B9F Investors, LLC Disclosed balance after: 0 Underlying: Common Stock · 21,079 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F5 · ownership.nature: The shares are held directly by Accom B9F Investors, LLC ("AB9F"). Mr. Fagnan is a member of AB9F. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries E Convertible Preferred Stock · Derivative | 362,548 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 19 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund IX, L.P. Disclosed balance after: 0 Underlying: Common Stock · 181,273 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F4 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("AVF IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of AVF IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Mr. Fagnan is a member of AVA IX LP. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries E Convertible Preferred Stock · Derivative | 56,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 18 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI GmbH & Co. KG Disclosed balance after: 0 Underlying: Common Stock · 28,297 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F3 · ownership.nature: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries E Convertible Preferred Stock · Derivative | 94,518 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 17 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Entrepreneurs' Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 47,259 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries E Convertible Preferred Stock · Derivative | 3,090,783 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 16 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,545,391 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · ownership.nature: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries D Convertible Preferred Stock · Derivative | 23,131 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 15 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI GmbH & Co. KG Disclosed balance after: 0 Underlying: Common Stock · 11,565 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F3 · ownership.nature: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries D Convertible Preferred Stock · Derivative | 38,631 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 14 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Entrepreneurs' Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 19,315 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries D Convertible Preferred Stock · Derivative | 1,263,264 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 13 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 631,632 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · ownership.nature: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries C Convertible Preferred Stock · Derivative | 83,217 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 12 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI GmbH & Co. KG Disclosed balance after: 0 Underlying: Common Stock · 41,608 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F3 · ownership.nature: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries C Convertible Preferred Stock · Derivative | 138,981 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 11 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Entrepreneurs' Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 69,490 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries C Convertible Preferred Stock · Derivative | 4,544,751 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 10 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,272,375 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · ownership.nature: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries B Convertible Preferred Stock · Derivative | 135,475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 9 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI GmbH & Co. KG Disclosed balance after: 0 Underlying: Common Stock · 67,737 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F3 · ownership.nature: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries B Convertible Preferred Stock · Derivative | 226,258 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 8 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Entrepreneurs' Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 113,129 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionSeries B Convertible Preferred Stock · Derivative | 7,398,761 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · derivative · entry 7 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI, L.P. Disclosed balance after: 0 Underlying: Common Stock · 3,699,380 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · price: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.exercise_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7 · derivative.expiration_date: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · ownership.nature: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionCommon Stock | 21,079 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · nonDerivative · entry 5 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Accom B9F Investors, LLC Disclosed balance after: 21,079 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F5 · ownership.nature: The shares are held directly by Accom B9F Investors, LLC ("AB9F"). Mr. Fagnan is a member of AB9F. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionCommon Stock | 181,273 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · nonDerivative · entry 4 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund IX, L.P. Disclosed balance after: 181,273 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F4 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("AVF IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of AVF IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Mr. Fagnan is a member of AVA IX LP. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionCommon Stock | 149,207 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · nonDerivative · entry 3 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI GmbH & Co. KG Disclosed balance after: 171,480 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F3 · ownership.nature: The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionCommon Stock | 249,193 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · nonDerivative · entry 2 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Entrepreneurs' Fund VI, L.P. Disclosed balance after: 286,392 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F2 · ownership.nature: The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 08, 2018 Filed May 10, 2018 21:09 UTC | Carbon Black, Inc. CBLK · Entity 154518 | ConversionCommon Stock | 8,148,778 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-032295 · a4.xml · nonDerivative · entry 1 Fagnan Jeff · CIK 0001452366 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Atlas Venture Fund VI, L.P. Disclosed balance after: 9,365,231 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: Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date. F1 · ownership.nature: The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.