Filing Details

Accession Number:
0001209191-17-061573
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-17 17:42:39
Reporting Period:
2017-11-15
Accepted Time:
2017-11-17 17:42:39
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1374684 Mulesoft Inc MULE Services-Prepackaged Software (7372) 205158650
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1700290 Gary Little 3200 Alpine Road
Portola Valley CA 94028
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2017-11-15 2,107,037 $0.00 2,107,037 No 4 C Indirect See footnote
Class A Common Stock Disposition 2017-11-15 2,107,037 $0.00 0 No 4 J Indirect See footnote
Class A Common Stock Acquisiton 2017-11-15 31,861 $0.00 31,861 No 4 J Indirect See footnote
Class A Common Stock Disposition 2017-11-16 15,931 $22.01 15,930 No 4 S Indirect See footnote
Class A Common Stock Acquisiton 2017-11-15 1,769 $0.00 1,769 No 4 J Indirect See footnote
Class A Common Stock Disposition 2017-11-16 1,769 $22.01 0 No 4 S Indirect See footnote
Class A Common Stock Acquisiton 2017-11-15 1,769 $0.00 1,769 No 4 J Indirect See footnote
Class A Common Stock Disposition 2017-11-16 1,769 $22.01 0 No 4 S Indirect See footnote
Class A Common Stock Acquisiton 2017-11-15 1,769 $0.00 1,769 No 4 J Indirect See footnote
Class A Common Stock Disposition 2017-11-16 1,769 $22.01 0 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See footnote
No 4 J Indirect See footnote
No 4 J Indirect See footnote
No 4 S Indirect See footnote
No 4 J Indirect See footnote
No 4 S Indirect See footnote
No 4 J Indirect See footnote
No 4 S Indirect See footnote
No 4 J Indirect See footnote
No 4 S Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Disposition 2017-11-15 2,107,037 $0.00 2,107,037 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
6,321,113 No 4 C Indirect
Footnotes
  1. This transaction involves the conversion of Class B Common Stock to Class A Common Stock on a 1:1 basis for no additional consideration.
  2. The shares are held of record by Morgenthaler Partners VIII, L.P. ("Morgenthaler Partners"). Morgenthaler Management Partners VIII, LLC ("Morgenthaler Management") is the sole general partner of Morgenthaler Partners. As a member of Morgenthaler Management, the Reporting Person shares voting and dispositive power with respect to the shares held of record by Morgenthaler Partners. Morgenthaler Management and the Reporting Person disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein.
  3. Represents a pro-rata, in-kind distribution by Morgenthaler Partners without additional consideration, to its partners. Morgenthaler Partners distributed an aggregate of 1,657,150 shares to its limited partners on a pro rata basis and 449,887 shares to its general partner, Morgenthaler Management. Morgenthaler Management subsequently distributed 449,887 shares on a pro rata basis for no additional consideration to its members and assignees.
  4. Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Morgenthaler Partners to Morgenthaler Management and the subsequent pro rata in-kind distribution to its members and assignees, including the trusts associated with the Reporting Person and his family members.
  5. Shares are held by The Little 1995 Family Trust, for which the Reporting Person is trustee.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.60 to $22.35, 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 sold at each separate price.
  7. Shares are held by The Scott M. Little Exempt Trust whose trustee is an immediate family member of the Reporting Person but does not share a household with the Reporting Person and in which the Reporting Person may be deemed to have indirect pecuniary interest.
  8. Shares are held by The Christine C. Little Exempt Trust whose trustee is an immediate family member of the Reporting Person but does not share a household with the Reporting Person and in which the Reporting Person may be deemed to have indirect pecuniary interest.
  9. Shares are held by The Allison F. Little Exempt Trust whose trustee is an immediate family member of the Reporting Person but does not share a household with the Reporting Person and in which the Reporting Person may be deemed to have indirect pecuniary interest.
  10. Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.