Casa Systems, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-19: Reporting owner EVANS BRUCE R; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2017-12-19: Reporting owner MANNION MARTIN J | CHUNG PETER Y; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2017-12-19: Reporting owner SUMMIT MASTER COMPANY, LLC | Summit Partners PE VII, LLC | Summit Investors I (UK), L.P. | Summit Partners PE VII, L.P. | Summit Partners Private Equity Fund VII-A, L.P. | Summit Partners Private Equity Fund VII B L P | Summit Investors I, LLC | Summit Investors Management, LLC | SUMMIT PARTNERS L P; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2017-12-14: Reporting owner EVANS BRUCE R; Form 3; Security Series C Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-19 | EVANS BRUCE R Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnotes. | C Conversion of derivative security | +3,859,200 0 owned after | $0.00 | 2017-12-19 | |
| 2017-12-19 | MANNION MARTIN J | CHUNG PETER Y 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnotes. | C Conversion of derivative security | +3,859,200 0 owned after | $0.00 | 2017-12-19 | |
| 2017-12-19 | SUMMIT MASTER COMPANY, LLC | Summit Partners PE VII, LLC | Summit Investors I (UK), L.P. | Summit Partners PE VII, L.P. | Summit Partners Private Equity Fund VII-A, L.P. | Summit Partners Private Equity Fund VII B L P | Summit Investors I, LLC | Summit Investors Management, LLC | SUMMIT PARTNERS L P | | 10% Owner | | 10% Owner | 10% Owner | 10% Owner | | | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +3,859,200 0 owned after | $0.00 | 2017-12-19 | |
| 2017-12-14 holding as of filing | EVANS BRUCE R Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnotes. | Holding | no price filed | 2017-12-14 | ||
| 2017-12-14 holding as of filing | Summit Partners Private Equity Fund VII-A, L.P. | SUMMIT PARTNERS L P | Summit Investors I, LLC | Summit Investors I (UK), L.P. | Summit Partners PE VII, L.P. | Summit Partners Private Equity Fund VII B L P | Summit Investors Management, LLC | SUMMIT MASTER COMPANY, LLC | Summit Partners PE VII, LLC 10% Owner | | 10% Owner | 10% Owner | | 10% Owner | | | | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2017-12-14 | ||
| 2017-12-14 holding as of filing | Liberty Global Ventures Holding B.V. | Liberty Global plc 10% Owner | 10% Owner | 3 | Series B Preferred Derivative · Indirect · Through wholly-owned subsidiary | Holding | no price filed | 2017-12-14 |