FUSION-IO, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 84 rows, 84 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-06-14: Reporting owner Dawson James L; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2011-06-14: Reporting owner Lindquist Shawn J.; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2011-06-14: Reporting owner White Rick C.; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2011-06-14: Reporting owner WOLF DENNIS P; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-06-14 | Dawson James L Officer (Exec. VP, Worldwide Sales) | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −25,000 0 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | Lindquist Shawn J. Officer (Chief Legal Officer) | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −15,000 0 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | White Rick C. Director, Officer (Chief Marketing Officer) | 4 | Series B Preferred Stock Derivative · Indirect · by West Coast VC, LLC | C Conversion of derivative security | −200,393 0 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | WOLF DENNIS P Officer (Chief Financial Officer) | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −20,000 0 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | Flynn David A. Director, Officer (Chairman, CEO & President) | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −156,494 0 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | Lightspeed Ultimate General Partner VIII, Ltd. | LIGHTSPEED VENTURE PARTNERS VIII LP | Eggers Barry | Nieh Peter | Mhatre Ravi | SCHAEPE CHRISTOPHER J | Lightspeed General Partner VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,500,000 7,531,417 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | Lightspeed Ultimate General Partner VIII, Ltd. | LIGHTSPEED VENTURE PARTNERS VIII LP | Eggers Barry | Nieh Peter | Mhatre Ravi | SCHAEPE CHRISTOPHER J | Lightspeed General Partner VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,292,324 8,823,741 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −7,500,000 0 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,292,324 0 owned after | $0.00 | 2011-06-16 | |
| 2011-06-14 | NEA Partners 12, Limited Partnership | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | NEA Partners 12, Limited Partnership | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | NEA Partners 12, Limited Partnership | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | NEWHALL CHARLES W III 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | NEWHALL CHARLES W III 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | NEWHALL CHARLES W III 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KRAMLICH C RICHARD 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KRAMLICH C RICHARD 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KRAMLICH C RICHARD 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BARRIS PETER J 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BARRIS PETER J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BARRIS PETER J 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | PERRY MARK W 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | PERRY MARK W 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | PERRY MARK W 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BARRETT M JAMES 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BARRETT M JAMES 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BARRETT M JAMES 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | DRANT RYAN D 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | DRANT RYAN D 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | DRANT RYAN D 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KERINS PATRICK J 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KERINS PATRICK J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KERINS PATRICK J 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BASKETT FOREST Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BASKETT FOREST Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | BASKETT FOREST Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | SANDELL SCOTT D Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −13,509,780 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | SANDELL SCOTT D Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −9,127,294 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-14 | SANDELL SCOTT D Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,843,112 0 owned after | no price filed | 2011-06-16 | |
| 2011-06-07 holding as of filing | NEA 12 GP, LLC | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | NEA 12 GP, LLC | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | NEA 12 GP, LLC | New Enterprise Associates 12, Limited Partnership | NEA Partners 12, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | NEWHALL CHARLES W III 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | NEWHALL CHARLES W III 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | NEWHALL CHARLES W III 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KRAMLICH C RICHARD 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KRAMLICH C RICHARD 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KRAMLICH C RICHARD 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | PERRY MARK W 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | PERRY MARK W 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | PERRY MARK W 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 3 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | DRANT RYAN D 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | DRANT RYAN D 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | DRANT RYAN D 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Note 4 | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BASKETT FOREST Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BASKETT FOREST Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BASKETT FOREST Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | SANDELL SCOTT D Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | SANDELL SCOTT D Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | SANDELL SCOTT D Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Lightspeed Ultimate General Partner VIII, Ltd. | Mhatre Ravi | LIGHTSPEED VENTURE PARTNERS VIII LP | Nieh Peter | Eggers Barry | SCHAEPE CHRISTOPHER J | Lightspeed General Partner VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Lightspeed Ultimate General Partner VIII, Ltd. | Mhatre Ravi | LIGHTSPEED VENTURE PARTNERS VIII LP | Nieh Peter | Eggers Barry | SCHAEPE CHRISTOPHER J | Lightspeed General Partner VIII, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | SCHAEPE CHRISTOPHER J Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | SCHAEPE CHRISTOPHER J Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | White Rick C. Director, Officer (Chief Marketing Officer) | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Dawson James L Officer (Exec. VP, Worldwide Sales) | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Lindquist Shawn J. Officer (Chief Legal Officer) | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | WOLF DENNIS P Officer (Chief Financial Officer) | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Flynn David A. Director, Officer (Chairman, CEO & President) | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2011-06-07 |