Home > Insider Trading > Filing (0001179110-17-015611)

Filing Details

Accession Number:: 0001179110-17-015611
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-12-19 16:05:34
Reporting Period:: 2017-12-19

Accepted Time:: 2017-12-19 16:05:34
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1333835	Casa Systems Inc	CASA	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1018062	R Bruce Evans	C/O Summit Partners 222 Berkeley Street, 18Th Floor Boston MA 02116		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-12-19	38,592,000	$0.00	38,592,000	No	4	C	Indirect	See Footnotes
Common Stock	Acquisiton	2017-12-19	250,000	$13.00	38,842,000	No	4	P	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C Convertible Preferred Stock	Acquisiton	2017-12-19	3,859,200	$0.00	38,592,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect

Footnotes

The Series C Convertible Preferred Stock automatically converted into common stock of Casa Systems, Inc. (the "Issuer") on a ten-for-one basis without payment of consideration upon the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock has no expiration date.
Consists of 24,052,910 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Partners Private Equity Fund VII-A, L.P., 14,446,570 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Partners Private Equity Fund VII-B, L.P., 82,110 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Investors I, LLC and 10,410 shares of common stock issued upon the conversion of Series C Convertible Preferred Stock held by Summit Investors I (UK), L.P.
Summit Partners, L.P. is the managing member of Summit Partners PE VII, LLC, which is the general partner of Summit Partners PE VII, L.P., which is the general partner of each of Summit Partners Private Equity Fund VII-A, L.P. and Summit Partners Private Equity Fund VII-B, L.P. Summit Master Company, LLC is the managing member of Summit Investors Management, LLC, which is the manager of Summit Investors I, LLC, and the general partner of Summit Investors I (UK), L.P. Summit Master Company, LLC, as the managing member of Summit Investors Management, LLC, has delegated investment decisions, including voting and dispositive power, to Summit Partners, L.P. and its investment committee responsible for voting and investment decisions with respect to the Issuer.
Summit Partners, L.P., through a three-person investment committee responsible for voting and investment decisions with respect to the Issuer, currently comprised of Peter Y. Chung, Bruce R. Evans and Martin J. Mannion, has voting and dispositive power over the shares held by each of these entities and therefore may be deemed to beneficially own such shares. Mr. Evans is a member of Summit Master Company, LLC. Mr. Evans may be deemed to share beneficial ownership of the shares of the Issuer held of record by the Summit entities and has an indirect pecuniary interest in such shares through his membership in Summit Master Company, LLC. Mr. Evans expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Consists of 155,816 shares of common stock purchased by Summit Partners Private Equity Fund VII-A, L.P., 93,585 shares of common stock purchased by Summit Partners Private Equity Fund VII-B, L.P., 532 shares of common stock issued purchased by Summit Investors I, LLC and 67 shares of common stock purchased by Summit Investors I (UK), L.P.
Consists of 24,208,726 shares of common stock held by Summit Partners Private Equity Fund VII-A, L.P., 14,540,155 shares of common stock held by Summit Partners Private Equity Fund VII-B, L.P., 82,642 shares of common stock issued held by Summit Investors I, LLC and 10,477 shares of common stock held by Summit Investors I (UK), L.P.