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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series I, IV, V Convertible Preferred Stock | (3) | 10/30/2007 | C | 5,830,100 (3) | (3) | (3) | Common Stock | 5,830,100 (3) | $ 0 | 0 | D (2) | ||||
Series II Convertible Preferred Stock | (5) | 10/30/2007 | C | 179,934 (5) | (5) | (5) | Common Stock | 179,934 (5) | $ 0 | 0 | D (2) | ||||
Series I, IV, V Convertible Preferred Stock | (3) | 10/30/2007 | C | 146,421 (3) | (3) | (3) | Common Stock | 146,421 (3) | $ 0 | 0 | I | See footnote. (6) | |||
Series II Convertible Preferred Stock | (5) | 10/30/2007 | C | 4,519 (5) | (5) | (5) | Common Stock | 4,519 (5) | $ 0 | 0 | I | See footnote. (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OAK INVESTMENT PARTNERS VII L P ONE GORHAM ISLAND WESTPORT, CT 06880 |
X | |||
Oak Associates VII, LLC ONE GORHAM ISLAND WESTPORT, CT 06880 |
X | |||
OAK VII AFFILIATES FUND LP ONE GORHAM ISLAND WESTPORT, CT 06880 |
X | |||
Oak VII Affiliates, L.L.C ONE GORHAM ISLAND WESTPORT, CT 06880 |
X |
/s/ Robert S. Guttman as attorney-in-fact for Oak Investment Partners VII, L.P. | 11/01/2007 | |
**Signature of Reporting Person | Date | |
/s/ Robert S. Guttman as attorney-in-fact for Oak Associates VII, LLC | 11/01/2007 | |
**Signature of Reporting Person | Date | |
/s/ Robert S. Guttman as attorney-in-fact for Oak VII Affiliates Fund, L.P. | 11/01/2007 | |
**Signature of Reporting Person | Date | |
/s/ Robert S. Guttman as attorney-in-fact for Oak VII Affiliates, LLC | 11/01/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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 reported securities were redeemed by the Issuer on October 30, 2007 for $1.00 per share in connection with the consummation of the Issuer's initial public offering. |
(2) | Oak Investment Partners VII, L.P. is the record holder of the securities. As the general partner of Oak Investment Partners VII, L.P., Oak Associates VII, LLC may be deemed a beneficial owner of the securities. |
(3) | These securities have no stated expiration date. The Issuer caused the mandatory conversion of Series I, Series IV and Series V Preferred Stock into shares of Common Stock on October 30, 2007. The Issuer exercised this right after providing prompt reasonable notice. Upon the mandatory conversion of such Convertible Preferred Stock, accrued and unpaid dividends were paid in cash by the Issuer. The number of underlying shares of Common Stock reported reflects a 0.632-for-1 reverse stock split, which was effected through the conversion of such Convertible Preferred Stock to Common Stock on a 0.632-for-1 basis on October 30, 2007. |
(4) | Of the number of shares reported, 102,179 shares represent Common Stock previously reported as beneficially owned by Oak Investment Partners VII, L.P. and such shares reflect a 0.632-for-1 reverse stock split, which was effected with respect to Common Stock on October 24, 2007. |
(5) | These securities have no stated expiration date. The Issuer caused the mandatory conversion of Series II Preferred Stock into shares of Common Stock on October 30, 2007. The Issuer exercised this right after providing prompt reasonable notice. The number of underlying shares of Common Stock reported reflects a 0.632-for-1 reverse stock split, which was effected through the conversion of such Convertible Preferred Stock to Common Stock on a 0.632-for-1 basis on October 30, 2007. |
(6) | Oak VII Affiliates Fund, L.P. is the record holder of the securities. As the general partner of Oak VII Affiliates Fund, L.P., Oak VII Affiliates, LLC may be deemed a beneficial owner of the securities. |
(7) | Of the number of shares reported, 2,566 shares represent Common Stock previously reported as beneficially owned by Oak VII Affiliates Fund, L.P. and such shares reflect a 0.632-for-1 reverse stock split, which was effected with respect to Common Stock on October 24, 2007. |