HashiCorp, Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 62 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-12-27: Reporting owner Welihinda Navam; Form 4; Security Class B Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-12-27: Reporting owner Welihinda Navam; Form 4; Security Class B Common Stock; Transaction C Conversion of derivative security.
- 2021-12-23: Reporting owner Welihinda Navam; Form 4; Security Class B Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-12-23: Reporting owner Welihinda Navam; Form 4; Security Class B Common Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-12-27 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,500 183,528 owned after | $0.23 exercise price | 2022-05-16 | |
| 2021-12-27 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −3,500 180,028 owned after | $0.00 | 2022-05-16 | |
| 2021-12-23 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +12,493 192,521 owned after | $5.32 exercise price | 2021-12-23 | |
| 2021-12-23 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −12,493 180,028 owned after | $0.00 | 2021-12-23 | |
| 2021-12-23 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Direct · (m) | Holding | 71,674 owned after | no price filed | 2021-12-23 | |
| 2021-12-23 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 681,050 owned after | no price filed | 2021-12-23 | |
| 2021-12-23 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 681,050 owned after | no price filed | 2021-12-23 | |
| 2021-12-23 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 60,000 owned after | no price filed | 2021-12-23 | |
| 2021-12-22 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,228 182,256 owned after | $5.32 exercise price | 2021-12-23 | |
| 2021-12-22 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −2,228 180,028 owned after | $0.00 | 2021-12-23 | |
| 2021-12-22 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −9,940 1,408,061 owned after | $0.00 | 2021-12-23 | |
| 2021-12-21 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −52,636 1,365,365 owned after | $0.00 | 2022-05-16 | |
| 2021-12-21 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,020 184,048 owned after | $5.32 exercise price | 2021-12-23 | |
| 2021-12-21 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −4,020 180,028 owned after | $0.00 | 2021-12-23 | |
| 2021-12-20 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +19,876 91,550 owned after | $0.00 | 2022-12-22 | |
| 2021-12-20 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −9,874 81,676 owned after | $0.00 | 2022-12-22 | |
| 2021-12-20 | Ford Todd R Director | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,250 43,750 owned after | $0.00 | 2022-05-16 | |
| 2021-12-20 | Sweeney Brandon Officer (Chief Revenue Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +50,000 227,720 owned after | $0.00 | 2022-05-16 | |
| 2021-12-20 | Sweeney Brandon Officer (Chief Revenue Officer) | 4 | Class B Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −24,810 202,910 owned after | $0.00 | 2022-05-16 | |
| 2021-12-20 | Dadgar Armon Director, Officer (Chief Technology Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +8,126 489,042 owned after | $0.00 | 2022-05-16 | |
| 2021-12-20 | Zarmi Sigal Director | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,125 9,375 owned after | $0.00 | 2021-12-22 | |
| 2021-12-20 | St. Ledger Susan Director | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +11,250 101,250 owned after | $0.00 | 2021-12-22 | |
| 2021-12-20 | Ford Todd R Director | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,250 43,750 owned after | $0.00 | 2021-12-22 | |
| 2021-12-17 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Direct · (m) | Holding | 71,674 owned after | no price filed | 2021-12-17 | |
| 2021-12-17 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 681,050 owned after | no price filed | 2021-12-17 | |
| 2021-12-17 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 681,050 owned after | no price filed | 2021-12-17 | |
| 2021-12-17 holding as of filing | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 60,000 owned after | no price filed | 2021-12-17 | |
| 2021-12-16 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −930 1,418,001 owned after | $0.00 | 2021-12-17 | |
| 2021-12-15 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −305 1,418,931 owned after | $0.00 | 2021-12-17 | |
| 2021-12-13 | REDPOINT OMEGA III, LLC | REDPOINT OMEGA III, L.P. | Redpoint Omega Associates II, LLC | Redpoint Omega II, LLC | Redpoint Omega II, L.P. | REDPOINT OMEGA ASSOCIATES III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +16,623,670 16,623,670 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | REDPOINT OMEGA III, LLC | REDPOINT OMEGA III, L.P. | Redpoint Omega Associates II, LLC | Redpoint Omega II, LLC | Redpoint Omega II, L.P. | REDPOINT OMEGA ASSOCIATES III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +514,126 514,126 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | REDPOINT OMEGA III, LLC | REDPOINT OMEGA III, L.P. | Redpoint Omega Associates II, LLC | Redpoint Omega II, LLC | Redpoint Omega II, L.P. | REDPOINT OMEGA ASSOCIATES III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +660,438 660,438 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | REDPOINT OMEGA III, LLC | REDPOINT OMEGA III, L.P. | Redpoint Omega Associates II, LLC | Redpoint Omega II, LLC | Redpoint Omega II, L.P. | REDPOINT OMEGA ASSOCIATES III, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +31,120 31,120 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | GGV Capital V L.L.C. | GGV Capital Select L.L.C. | GGV Capital VII Plus L.L.C. | GGV VII Investments, L.L.C. | GGV Capital VII L.L.C. | GGV Capital Select L.P. | GGV Capital V Entrepreneurs Fund L.P. | GGV VII Plus Investments, L.L.C. | GGV Capital V L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +20,986,922 20,986,922 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | GGV Capital V L.L.C. | GGV Capital Select L.L.C. | GGV Capital VII Plus L.L.C. | GGV VII Investments, L.L.C. | GGV Capital VII L.L.C. | GGV Capital Select L.P. | GGV Capital V Entrepreneurs Fund L.P. | GGV VII Plus Investments, L.L.C. | GGV Capital V L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +6,277,066 6,277,066 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | GGV Capital V L.L.C. | GGV Capital Select L.L.C. | GGV Capital VII Plus L.L.C. | GGV VII Investments, L.L.C. | GGV Capital VII L.L.C. | GGV Capital Select L.P. | GGV Capital V Entrepreneurs Fund L.P. | GGV VII Plus Investments, L.L.C. | GGV Capital V L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +770,220 770,220 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | GGV Capital V L.L.C. | GGV Capital Select L.L.C. | GGV Capital VII Plus L.L.C. | GGV VII Investments, L.L.C. | GGV Capital VII L.L.C. | GGV Capital Select L.P. | GGV Capital V Entrepreneurs Fund L.P. | GGV VII Plus Investments, L.L.C. | GGV Capital V L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +864,448 864,448 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | GGV Capital V L.L.C. | GGV Capital Select L.L.C. | GGV Capital VII Plus L.L.C. | GGV VII Investments, L.L.C. | GGV Capital VII L.L.C. | GGV Capital Select L.P. | GGV Capital V Entrepreneurs Fund L.P. | GGV VII Plus Investments, L.L.C. | GGV Capital V L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +835,632 835,632 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Zarmi Sigal Director | 4 | Class B Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +6,250 6,250 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Solomon Glenn Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +20,986,922 20,986,922 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Solomon Glenn Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +6,277,066 6,277,066 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Solomon Glenn Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +770,220 770,220 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Solomon Glenn Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +864,448 864,448 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Solomon Glenn Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | +835,632 835,632 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Mayfield XIV Management (UGP), Ltd. | Mayfield XIV Management (EGP), L.P. | MAYFIELD SELECT, A CAYMAN ISLANDS EXEMPTED LIMITED PARTNERSHIP | Mayfield Select Management (EGP), L.P. | MF Leaders Management, L.L.C. | MF Leaders H-E, L.P. | Mayfield Select Management (UGP), Ltd. | MAYFIELD XIV, A CAYMAN ISLANDS EXEMPTED LIMITED PARTNERSHIP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · Mayfield XIV, a Cayman Islands Exempted Limited Partnership | J Other acquisition or disposition (describe transaction) | +26,216,776 26,216,776 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Mayfield XIV Management (UGP), Ltd. | Mayfield XIV Management (EGP), L.P. | MAYFIELD SELECT, A CAYMAN ISLANDS EXEMPTED LIMITED PARTNERSHIP | Mayfield Select Management (EGP), L.P. | MF Leaders Management, L.L.C. | MF Leaders H-E, L.P. | Mayfield Select Management (UGP), Ltd. | MAYFIELD XIV, A CAYMAN ISLANDS EXEMPTED LIMITED PARTNERSHIP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · Mayfield Select, a Cayman Islands Exempted Limited Partnership | J Other acquisition or disposition (describe transaction) | +3,325,602 3,325,602 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Mayfield XIV Management (UGP), Ltd. | Mayfield XIV Management (EGP), L.P. | MAYFIELD SELECT, A CAYMAN ISLANDS EXEMPTED LIMITED PARTNERSHIP | Mayfield Select Management (EGP), L.P. | MF Leaders Management, L.L.C. | MF Leaders H-E, L.P. | Mayfield Select Management (UGP), Ltd. | MAYFIELD XIV, A CAYMAN ISLANDS EXEMPTED LIMITED PARTNERSHIP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Common Stock Derivative · Indirect · MF Leaders H-E, L.P. | J Other acquisition or disposition (describe transaction) | +345,778 345,778 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | St. Ledger Susan Director | 4 | Class B Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +90,000 90,000 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Ford Todd R Director | 4 | Class B Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +37,500 37,500 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Sweeney Brandon Officer (Chief Revenue Officer) | 4 | Class B Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +177,720 177,720 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +180,028 180,028 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,248 186,276 owned after | $5.32 exercise price | 2021-12-15 | |
| 2021-12-13 | Welihinda Navam Officer (Chief Financial Officer) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −6,248 180,028 owned after | $0.00 | 2021-12-15 | |
| 2021-12-13 | Dadgar Armon Director, Officer (Chief Technology Officer) | 4 | Class B Common Stock Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +480,916 480,916 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Dadgar Armon Director, Officer (Chief Technology Officer) | 4 | Class B Common Stock Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +15,209,288 15,209,288 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Dadgar Armon Director, Officer (Chief Technology Officer) | 4 | Class B Common Stock Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +2,339,030 2,339,030 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | Dadgar Armon Director, Officer (Chief Technology Officer) | 4 | Class B Common Stock Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +700,000 700,000 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +71,674 71,674 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +1,419,236 1,419,236 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +681,050 681,050 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +681,050 681,050 owned after | no price filed | 2021-12-15 | |
| 2021-12-13 | McJannet David Director, Officer (CEO and Chairman) | 4 | Class B Common Stock Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +60,000 60,000 owned after | no price filed | 2021-12-15 |