MERU NETWORKS INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 60 rows, 60 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-04-06: Reporting owner NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP; Form 4; Security Series A-1 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-04-06: Reporting owner NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-04-06: Reporting owner NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-04-06: Reporting owner NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP; Form 4; Security Series D Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-04-06 | NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,543,360 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,660,154 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,105,839 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,336,280 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | NEOCARTA SCOUT FUND LLC | Newman Barry A. | NeoCarta Ventures, LP 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −6,391,401 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −964,532 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,564,098 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,254,919 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,224,924 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −5,657,559 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Mitsakos Nicholas Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −92,408 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Mitsakos Nicholas Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −77,646 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Quigley William | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,543,360 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Quigley William | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −4,541,132 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Quigley William | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,927,200 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Quigley William | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −2,505,526 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Quigley William | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −7,217,856 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Anand Kamal Officer (SVP of Corp Dev & Strategy) | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −12,916 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-06 | Anand Kamal Officer (SVP of Corp Dev & Strategy) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −31,156 0 owned after | $0.00 | 2010-04-08 | |
| 2010-04-05 | D. E. SHAW & CO, L.L.C. | Laminar Direct Capital, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | SHAW DAVID E | D. E. SHAW & CO, L.P. | | | | | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,351,754 0 owned after | no price filed | 2010-04-07 | |
| 2010-04-05 | D. E. SHAW & CO, L.L.C. | Laminar Direct Capital, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | SHAW DAVID E | D. E. SHAW & CO, L.P. | | | | | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,601,404 0 owned after | no price filed | 2010-04-07 | |
| 2010-04-05 | D. E. SHAW & CO, L.L.C. | Laminar Direct Capital, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | SHAW DAVID E | D. E. SHAW & CO, L.P. | | | | | 4 | Preferred Stock Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −876,262 0 owned after | $0.70 exercise price | 2010-04-07 | |
| 2010-04-05 | D. E. SHAW & CO, L.L.C. | Laminar Direct Capital, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | SHAW DAVID E | D. E. SHAW & CO, L.P. | | | | | 4 | Series E Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +518,558 0 owned after | $0.70 exercise price | 2010-04-07 | |
| 2010-04-05 | D. E. SHAW & CO, L.L.C. | Laminar Direct Capital, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | SHAW DAVID E | D. E. SHAW & CO, L.P. | | | | | 4 | Series E Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −518,558 0 owned after | no price filed | 2010-04-07 | |
| 2010-04-01 holding as of filing | D. E. SHAW & CO, L.P. | D. E. SHAW & CO, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | Laminar Direct Capital, L.L.C. | SHAW DAVID E | | | | | 3/A | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-01 | ||
| 2010-04-01 holding as of filing | D. E. SHAW & CO, L.P. | D. E. SHAW & CO, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | Laminar Direct Capital, L.L.C. | SHAW DAVID E | | | | | 3/A | Series E Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-04-01 | ||
| 2010-04-01 holding as of filing | D. E. SHAW & CO, L.P. | D. E. SHAW & CO, L.L.C. | D. E. Shaw Composite Side Pocket Series 5, L.L.C. | Laminar Direct Capital, L.L.C. | SHAW DAVID E | | | | | 3/A | Preferred Stock Warrant Derivative · Direct | Holding | $0.70 exercise price | 2010-04-01 | ||
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −62,423 0 owned after | $0.70 exercise price | 2010-04-02 | |
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −18,726 0 owned after | $0.70 exercise price | 2010-04-02 | |
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −561,809 0 owned after | $0.70 exercise price | 2010-04-02 | |
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −168,542 0 owned after | $0.70 exercise price | 2010-04-02 | |
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +36,941 6,428,342 owned after | $0.00 | 2010-04-02 | |
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +11,081 6,439,423 owned after | $0.00 | 2010-04-02 | |
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +332,470 6,771,893 owned after | $0.00 | 2010-04-02 | |
| 2010-03-31 | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +99,740 6,871,633 owned after | $0.00 | 2010-04-02 | |
| 2010-03-31 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −552,560 0 owned after | $0.70 exercise price | 2010-04-02 | |
| 2010-03-31 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −165,768 0 owned after | $0.70 exercise price | 2010-04-02 | |
| 2010-03-31 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +326,996 6,202,778 owned after | $0.00 | 2010-04-02 | |
| 2010-03-31 | Erickson Thomas J. | BLUESTREAM VENTURES LP Director, 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +98,099 6,300,877 owned after | $0.00 | 2010-04-02 | |
| 2010-03-30 holding as of filing | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | NeoCarta Ventures, LP | Newman Barry A. | NEOCARTA SCOUT FUND LLC 10% Owner | Director, 10% Owner | 10% Owner | 3 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.70 exercise price | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Anand Kamal Officer (SVP of Corp Dev & Strategy) | 3 | Series A-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Anand Kamal Officer (SVP of Corp Dev & Strategy) | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | BLUESTREAM VENTURES LP | Erickson Thomas J. 10% Owner | Director, 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | BLUESTREAM VENTURES LP | Erickson Thomas J. 10% Owner | Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | BLUESTREAM VENTURES LP | Erickson Thomas J. 10% Owner | Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | BLUESTREAM VENTURES LP | Erickson Thomas J. 10% Owner | Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | BLUESTREAM VENTURES LP | Erickson Thomas J. 10% Owner | Director, 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | BLUESTREAM VENTURES LP | Erickson Thomas J. 10% Owner | Director, 10% Owner | 3 | Preferred Stock Warrants (right to buy) Derivative · Indirect · See Footnote | Holding | $0.70 exercise price | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Mitsakos Nicholas Director | 3 | Series A-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Mitsakos Nicholas Director | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Quigley William | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Foonote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Quigley William | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Foonote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Quigley William | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Foonote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Quigley William | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Foonote | Holding | no price filed | 2010-03-30 | ||
| 2010-03-30 holding as of filing | Quigley William | Clearstone Venture Partners II-A, L.P. | Clearstone Venture Partners II-B, L.P. | Clearstone Venture Partners II-C, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Stock Derivative · Indirect · See Foonote | Holding | no price filed | 2010-03-30 |