ADESTO TECHNOLOGIES CORPORATION Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 96 rows, 96 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-10-30: Reporting owner Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2015-10-30: Reporting owner Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2015-10-30: Reporting owner Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2015-10-30: Reporting owner Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | C Conversion of derivative security | −248,174 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | C Conversion of derivative security | −3,631 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | C Conversion of derivative security | −719 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | C Conversion of derivative security | −225,612 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | C Conversion of derivative security | −3,301 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | C Conversion of derivative security | −654 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | C Conversion of derivative security | −80,437 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | C Conversion of derivative security | −1,176 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | C Conversion of derivative security | −233 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | C Conversion of derivative security | −55,583 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | C Conversion of derivative security | −813 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | C Conversion of derivative security | −161 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | C Conversion of derivative security | −37,437 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | C Conversion of derivative security | −547 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | C Conversion of derivative security | −108 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | C Conversion of derivative security | −41,797 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | C Conversion of derivative security | −611 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | C Conversion of derivative security | −121 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | CRANDELL KEITH Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −315,656 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | CRANDELL KEITH Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −286,960 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | CRANDELL KEITH Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −102,309 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | CRANDELL KEITH Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −70,697 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | CRANDELL KEITH Director, 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −47,616 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | CRANDELL KEITH Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −106,326 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | ARCH VENTURE PARTNERS VI LLC | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | BYBEE CLINTON | ARCH VENTURE FUND VI LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −315,656 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | ARCH VENTURE PARTNERS VI LLC | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | BYBEE CLINTON | ARCH VENTURE FUND VI LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −286,960 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | ARCH VENTURE PARTNERS VI LLC | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | BYBEE CLINTON | ARCH VENTURE FUND VI LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −102,309 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | ARCH VENTURE PARTNERS VI LLC | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | BYBEE CLINTON | ARCH VENTURE FUND VI LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −70,697 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | ARCH VENTURE PARTNERS VI LLC | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | BYBEE CLINTON | ARCH VENTURE FUND VI LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −47,616 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | ARCH VENTURE PARTNERS VI LLC | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | BYBEE CLINTON | ARCH VENTURE FUND VI LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Direct | C Conversion of derivative security | −106,326 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A Director, 10% Owner | Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −198,412 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A Director, 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −180,375 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A Director, 10% Owner | Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −64,308 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A Director, 10% Owner | Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −44,438 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A Director, 10% Owner | Director, 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −29,930 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A Director, 10% Owner | Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Direct | C Conversion of derivative security | −106,326 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −198,412 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −180,375 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −64,308 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −44,438 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −29,930 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −106,326 0 owned after | $0.00 | 2015-11-03 | |
| 2015-10-30 | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −157,828 0 owned after | no price filed | 2015-11-03 | |
| 2015-10-30 | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −176,275 0 owned after | no price filed | 2015-11-03 | |
| 2015-10-30 | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −56,722 0 owned after | no price filed | 2015-11-03 | |
| 2015-10-30 | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −39,196 0 owned after | no price filed | 2015-11-03 | |
| 2015-10-30 | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 4 | Series D-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −26,399 0 owned after | no price filed | 2015-11-03 | |
| 2015-10-30 | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −106,326 0 owned after | no price filed | 2015-11-03 | |
| 2015-10-26 holding as of filing | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Applied Ventures, LLC | APPLIED MATERIALS INC /DE 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | Director, 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | Director, 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | Andreev Alexei A | HARRIS & HARRIS GROUP INC /NY/ Director, 10% Owner | Director, 10% Owner | 3 | Series E Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | CRANDELL KEITH Director | 3 | Series A Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | CRANDELL KEITH Director | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | CRANDELL KEITH Director | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | CRANDELL KEITH Director | 3 | Series D Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | CRANDELL KEITH Director | 3 | Series D-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | CRANDELL KEITH Director | 3 | Series E Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · Held directly by ATA Ventures II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · Held directly by ATA Affiliates Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | THOMAS T PETER | ATA Ventures II L.P. | Fujimura Michio | ATA AFFILIATES FUND II L P | Graham Hatch | ATA Investment Fund II, L.P. | ATA Management II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · Held directly by ATA Investment Fund II, L.P. | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | ARCH VENTURE FUND VI LP | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | CRANDELL KEITH | ARCH VENTURE PARTNERS VI LLC | BYBEE CLINTON 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | ARCH VENTURE FUND VI LP | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | CRANDELL KEITH | ARCH VENTURE PARTNERS VI LLC | BYBEE CLINTON 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | ARCH VENTURE FUND VI LP | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | CRANDELL KEITH | ARCH VENTURE PARTNERS VI LLC | BYBEE CLINTON 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | ARCH VENTURE FUND VI LP | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | CRANDELL KEITH | ARCH VENTURE PARTNERS VI LLC | BYBEE CLINTON 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | ARCH VENTURE FUND VI LP | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | CRANDELL KEITH | ARCH VENTURE PARTNERS VI LLC | BYBEE CLINTON 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | ARCH VENTURE FUND VI LP | NELSEN ROBERT | ARCH VENTURE PARTNERS VI LP | CRANDELL KEITH | ARCH VENTURE PARTNERS VI LLC | BYBEE CLINTON 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 3 | Series E Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A 10% Owner | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A 10% Owner | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A 10% Owner | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A 10% Owner | Director, 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A 10% Owner | Director, 10% Owner | 3 | Series D-1 Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2015-10-26 | ||
| 2015-10-26 holding as of filing | HARRIS & HARRIS GROUP INC /NY/ | Andreev Alexei A 10% Owner | Director, 10% Owner | 3 | Series E Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2015-10-26 |