Filing Details
- Accession Number:
- 0001225208-14-015119
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-16 18:50:26
- Reporting Period:
- 2014-06-12
- Filing Date:
- 2014-06-16
- Accepted Time:
- 2014-06-16 18:50:26
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1094348 | Mattersight Corp | MATR | Services-Management Consulting Services (8742) | 364304577 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1197647 | Tench Coxe | 755 Page Mill Road, Suite A-200 Palo Alto CA 94304-1005 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2014-06-12 | 14,847 | $5.12 | 340,843 | No | 4 | P | Indirect | By Trust (Trustees) |
Common Stock | Acquisiton | 2014-06-12 | 5,853 | $5.12 | 346,696 | No | 4 | P | Indirect | By Trust (Trustees) |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Trust (Trustees) |
No | 4 | P | Indirect | By Trust (Trustees) |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Preferred Stock | Acquisiton | 2014-06-12 | 22,418 | $5.82 | 22,418 | $0.00 |
Common Stock | Series B Preferred Stock | Acquisiton | 2014-06-12 | 8,854 | $5.82 | 8,854 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
188,401 | No | 4 | P | Indirect | ||
197,255 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 57,294 | Direct | |
Common Stock | 237,033 | Indirect | By Ltd Partnership (ROOS) |
Common Stock | 2,443,889 | Indirect | By Ltd Partnership (SHV) |
Common Stock | 26,947 | Indirect | By Profit Sharing Plan Trust |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Series B Preferred Stock | $0.00 | 735,514 | 735,514 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
735,514 | 735,514 | Indirect |
Footnotes
- These shares were purchased from Sutter Hill Entrepreneurs Fund (QP), L.P. ("SHQP") The reporting person is a Managing Director of the General Partner of SHQP. The reporting person previously reported beneficial ownership of such shares indirectly through SHQP, disclaiming beneficial ownership of these shares except as to the reporting person's pecuniary interest in the partnership. For purposes of Section 16, the purchase of these shares by the trust constituted (i) a change in the form of ownership of the shares previously beneficially owned by the reporting person from one form of indirect ownership to another; and (ii) with respect to the remaining shares held by SHQP, a purchase by the reporting person. Following this transaction, SHQP no longer holds any securities of the Issuer.
- Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.
- These shares were purchased from Sutter Hill Entrepreneurs Fund (AI), L.P. ("SHAI") The reporting person is a Managing Director of the General Partner of SHAI. The reporting person previously reported beneficial ownership of such shares indirectly through SHAI, disclaiming beneficial ownership of these shares except as to the reporting person's pecuniary interest in the partnership. For purposes of Section 16, the purchase of these shares by the trust constitute (i) a change in the form of ownership of the shares previously beneficially owned by the reporting person from one form of indirect ownership to another; and (ii) with respect to the remaining shares held by SHAI, a purchase by the reporting person. Following this transaction, SHAI no longer holds any securities of the Issuer.
- Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a Managing Director of the General Partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
- Convertible on a one-for-one basis into shares of Common Stock.
- Immediate.
- Not applicable.
- The price per share is equal to the price paid for each share of Common Stock plus $0.70 per share accrued dividend through the transaction date.