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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
  7. Convertible on a one-for-one basis into shares of Common Stock.
  8. Immediate.
  9. Not applicable.
  10. 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.