Cloudflare, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 112 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-09-17: Reporting owner UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-09-17: Reporting owner UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-09-17: Reporting owner UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-09-17: Reporting owner UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
NET insiders transactions against the stock price
Blue: Split-adjusted close · Orange: Cumulative dividend-reinvested close
Logarithmic scale. Both lines share the same starting value for the selected range.
Markers: each transaction type positioned at that session's split-adjusted close. Tooltips retain the reported transaction price when available.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −9,808,604 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −8,321,250 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,774,260 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,183,223 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,700,500 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −575,800 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −6,046,577 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −5,129,650 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,093,750 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | UV PARTNERS IV-A LP | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | Pelion Opportunity Fund I, LLC | UV PARTNERS IV LP | UV Partners IV Financial Institutions GP, L.L.C. | Modersitzki Blake G 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,954,546 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −314,480 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,210,230 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −831,641 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −80,016 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −562,370 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −211,603 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −95,500 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −671,200 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Pelion Ventures V Financial Institutions Fund, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Venture Partners VI, L.L.C. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V-A, L.P. | Pelion Ventures V, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −252,550 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,954,546 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −314,480 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,210,230 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −831,641 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −80,016 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −562,370 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −211,603 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −95,500 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −671,200 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −252,550 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −9,808,604 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −8,321,250 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,774,260 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,183,223 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,700,500 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −575,800 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −6,046,577 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −5,129,650 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Ledbetter Carl Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,093,750 0 owned after | $0.00 | $18.75 | 2019-09-19 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −27,532,000 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −6,566,350 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,174,050 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −441,907 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,334,250 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −556,720 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −269,110 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −37,466 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −646,850 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −154,280 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −74,570 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | Venrock Entrepreneurs Fund V, L.P. | Venrock Management V, LLC | Venrock Partners Management V, LLC | VEF Management V, LLC | VENROCK ASSOCIATES V LP | VENROCK PARTNERS V L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −10,383 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | SANDELL SCOTT D Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −35,280,610 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | SANDELL SCOTT D Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −7,183,310 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | SANDELL SCOTT D Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,059,376 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | NEW ENTERPRISE ASSOCIATES 13 LP | MOTT DAVID M | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd | BARRIS PETER J | BASKETT FOREST | KERINS PATRICK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −35,280,610 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | NEW ENTERPRISE ASSOCIATES 13 LP | MOTT DAVID M | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd | BARRIS PETER J | BASKETT FOREST | KERINS PATRICK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −7,183,310 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-17 | NEW ENTERPRISE ASSOCIATES 13 LP | MOTT DAVID M | NEA Partners 13, Limited Partnership | NEA 13 GP, Ltd | BARRIS PETER J | BASKETT FOREST | KERINS PATRICK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,059,376 0 owned after | $0.00 | $18.75 | 2019-09-18 |
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Modersitzki Blake G | UV Partners IV GP, L.L.C. | Pelion Opportunities Partners I, L.L.C | UV PARTNERS IV-A LP | UV PARTNERS IV FINANCIAL INSTITUTIONS FUND LP | UV Partners IV Financial Institutions GP, L.L.C. | UV PARTNERS IV LP | Pelion Opportunity Fund I, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Pelion Venture Partners V, L.L.C. | Pelion Ventures VI, L.P. | Modersitzki Blake G | Pelion Ventures VI-A, L.P. | Pelion Ventures V, L.P. | Pelion Ventures V Financial Institutions GP, L.L.C. | Pelion Ventures V Financial Institutions Fund, L.P. | Pelion Ventures V-A, L.P. | Pelion Venture Partners VI, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Ledbetter Carl Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | SANDELL SCOTT D Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | SANDELL SCOTT D Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | SANDELL SCOTT D Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership | NEW ENTERPRISE ASSOCIATES 13 LP | BARRIS PETER J | BASKETT FOREST | KERINS PATRICK J | MOTT DAVID M 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership | NEW ENTERPRISE ASSOCIATES 13 LP | BARRIS PETER J | BASKETT FOREST | KERINS PATRICK J | MOTT DAVID M 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership | NEW ENTERPRISE ASSOCIATES 13 LP | BARRIS PETER J | BASKETT FOREST | KERINS PATRICK J | MOTT DAVID M 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-09-12 |