Sec Form 4 Filing - Sapphire Ventures Fund I, L.P. @ MULESOFT, INC - 2017-03-22

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Sapphire Ventures Fund I, L.P.
2. Issuer Name and Ticker or Trading Symbol
MULESOFT, INC [ MULE]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
3408 HILLVIEW AVENUE, BLDG 5
3. Date of Earliest Transaction (MM/DD/YY)
03/22/2017
(Street)
PALO ALTO, CA94304
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/22/2017 C 7,430,044 A 7,627,018 D ( 6 )
Common Stock ( 5 ) 03/22/2017 J 7,627,018 D 0 D ( 6 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series C Preferred Stock ( 1 ) ( 1 ) 03/22/2017 C 5,161,292 ( 1 ) ( 1 ) Common Stock 5,161,292 $ 0 0 D ( 6 )
Series D Preferred Stock ( 2 ) ( 2 ) 03/22/2017 C 1,152,004 ( 2 ) ( 2 ) Common Stock 1,152,004 $ 0 0 D ( 6 )
Series E Preferred Stock ( 3 ) ( 3 ) 03/22/2017 C 342,614 ( 3 ) ( 3 ) Common Stock 342,614 $ 0 0 D ( 6 )
Series F Preferred Stock ( 4 ) ( 4 ) 03/22/2017 C 765,228 ( 4 ) ( 4 ) Common Stock 765,228 $ 0 0 D ( 6 )
Series G Preferred Stock ( 5 ) ( 5 ) 03/22/2017 C 8,906 ( 5 ) ( 5 ) Common Stock 8,906 $ 0 0 D ( 6 )
Class B Common Stock ( 7 ) ( 8 ) ( 8 ) 03/22/2017 J 7,627,018 ( 8 ) ( 8 ) Class A Common Stock 7,627,018 $ 0 7,627,018 D ( 6 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Sapphire Ventures Fund I, L.P.
3408 HILLVIEW AVENUE
BLDG 5
PALO ALTO, CA94304
X
Sapphire Ventures (GPE) I, L.L.C.
3408 HILLVIEW AVENUE
BLDG 5
PALO ALTO, CA94304
X
MARAKOVIC NINO NIKOLA
3408 HILLVIEW AVENUE
BLDG 5
PALO ALTO, CA94304
X
Signatures
Sapphire Ventures Fund I, LP, By: Sapphire Ventures (GPE) I L.L.C., its General Partner, By: /s/ Nino Marakovic, Managing Member 03/23/2017
Signature of Reporting Person Date
Sapphire Ventures (GPE) I, L.L.C., By: /s/ Nino Marakovic, Managing Member 03/23/2017
Signature of Reporting Person Date
By: /s/ Nino Marakovic 03/23/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
( 2 )The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
( 3 )The Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
( 4 )The Series F Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
( 5 )The Series G Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
( 6 )The securities reported herein are held by Sapphire Ventures Fund I, L.P.(the "Fund") and may be deemed to be beneficially owned by (i) Sapphire Ventures (GPE) I, L.L.C. (the "General Partner"), the general partner of the Fund and (ii) Nino Marakovic, the controlling managing member of the General Partner. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
( 7 )Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
( 8 )Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

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