1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series A Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
32,467
|
$
(1)
|
I
|
By Foundation Capital Leadership Fund, LP
(2)
|
Series A Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
866
|
$
(1)
|
I
|
By Foundation Capital Leadership Principals Fund, LLC
(2)
|
Series B Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
1,442,447
|
$
(1)
|
I
|
By Foundation Capital, LP
(3)
|
Series B Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
160,271
|
$
(1)
|
I
|
By Foundation Capital Entrepreneurs Fund, LLC
(3)
|
Series C Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
475,080
|
$
(1)
|
I
|
By Foundation Capital, LP
(3)
|
Series C Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
52,787
|
$
(1)
|
I
|
By Foundation Capital Entrepreneurs Fund, LLC
(3)
|
Series D Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
487,305
|
$
(1)
|
I
|
By Foundation Capital, LP
(3)
|
Series D Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
54,145
|
$
(1)
|
I
|
By Foundation Capital Entrepreneurs Fund, LLC
(3)
|
Series E Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
105,924
|
$
(1)
|
I
|
By Foundation Capital, LP
(3)
|
Series E Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
11,771
|
$
(1)
|
I
|
By Foundation Capital Entrepreneurs Fund, LLC
(3)
|
Series F Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
1,198,503
|
$
(1)
|
I
|
By Foundation Capital Leadership Fund, LP
(2)
|
Series F Preferred
|
Â
(1)
|
Â
(1)
|
Common Stock
|
31,959
|
$
(1)
|
I
|
By Foundation Capital Leadership Principals Fund, LLC
(2)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
The convertible preferred stock is convertible at anytime, at the holder's option, on a one-for-one basis and has no expiration date. |
(2) |
Paul G. Koontz is a Manager of FC Leadership Management Co., LLC ("FCLM") which serves as the sole Manager of Foundation Capital Leadership Fund, L.P. ("FCL") and Foundation Capital Leadership Principals Fund, LLC ("FCLP"). FCLM exercises sole voting and investment power over the shares owned by FCL and FCLP. As a Manager of FCLM, Mr. Koontz may be deemed to share voting and investment power over the shares owned by FCL and FCLP. Mr. Koontz disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. |
(3) |
Paul G. Koontz is a Manager of Foundation Capital Management Co., LLC ("FC1M") which serves as the sole Manager of Foundation Capital, L.P. ("FC1") and Foundation Capital Entrepreneurs Fund, LLC ("FC1E"). FC1M exercises sole voting and investment power over the shares owned by FC1 and FC1E. As a Manager of FC1M, Mr. Koontz may be deemed to share voting and investment power over the shares owned by FC1 and FC1E. Mr. Koontz disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. |