Sec Form 4 Filing - Greylock XIII GP LLC @ Sumo Logic, Inc. - 2020-09-21

Insider filing report for Changes in Beneficial Ownership
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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
Greylock XIII GP LLC
2. Issuer Name and Ticker or Trading Symbol
Sumo Logic, Inc. [ SUMO]
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)
2550 SAND HILL ROAD, SUITE 200
3. Date of Earliest Transaction (MM/DD/YY)
09/21/2020
(Street)
MENLO PARK, CA94025
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 09/21/2020 C 16,919,622 A 16,919,622 I See footnote ( 2 )
Common Stock 09/21/2020 C 1,523,268 A 1,523,268 I See footnote ( 3 )
Common Stock 09/21/2020 C 541,042 A 541,042 I See footnote ( 4 )
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 A Preferred Stock ( 1 ) 09/21/2020 C 7,771,788 ( 1 ) ( 1 ) Common Stock 7,771,788 ( 1 ) 0 I See footnote ( 2 )
Series A Preferred Stock ( 1 ) 09/21/2020 C 699,692 ( 1 ) ( 1 ) Common Stock 699,692 ( 1 ) 0 I See footnote ( 3 )
Series A Preferred Stock ( 1 ) 09/21/2020 C 248,520 ( 1 ) ( 1 ) Common Stock 248,520 ( 1 ) 0 I See footnote ( 4 )
Series B Preferred Stock ( 1 ) 09/21/2020 C 2,828,264 ( 1 ) ( 1 ) Common Stock 2,828,264 ( 1 ) 0 I See footnote ( 2 )
Series B Preferred Stock ( 1 ) 09/21/2020 C 254,628 ( 1 ) ( 1 ) Common Stock 254,628 ( 1 ) 0 I See footnote ( 3 )
Series B Preferred Stock ( 1 ) 09/21/2020 C 90,440 ( 1 ) ( 1 ) Common Stock 90,440 ( 1 ) 0 I See footnote ( 4 )
Series C Preferred Stock ( 1 ) 09/21/2020 C 2,542,885 ( 1 ) ( 1 ) Common Stock 2,542,885 ( 1 ) 0 I See footnote ( 2 )
Series C Preferred Stock ( 1 ) 09/21/2020 C 228,935 ( 1 ) ( 1 ) Common Stock 228,935 ( 1 ) 0 I See footnote ( 3 )
Series C Preferred Stock ( 1 ) 09/21/2020 C 81,314 ( 1 ) ( 1 ) Common Stock 81,314 ( 1 ) 0 I See footnote ( 4 )
Series D Preferred Stock ( 1 ) 09/21/2020 C 1,629,792 ( 1 ) ( 1 ) Common Stock 1,629,792 ( 1 ) 0 I See footnote ( 2 )
Series D Preferred Stock ( 1 ) 09/21/2020 C 146,730 ( 1 ) ( 1 ) Common Stock 146,730 ( 1 ) 0 I See footnote ( 3 )
Series D Preferred Stock ( 1 ) 09/21/2020 C 52,116 ( 1 ) ( 1 ) Common Stock 52,116 ( 1 ) 0 I See footnote ( 4 )
Series E Preferred Stock ( 1 ) 09/21/2020 C 1,654,051 ( 1 ) ( 1 ) Common Stock 1,654,051 ( 1 ) 0 I See footnote ( 2 )
Series E Preferred Stock ( 1 ) 09/21/2020 C 148,914 ( 1 ) ( 1 ) Common Stock 148,914 ( 1 ) 0 I See footnote ( 3 )
Series E Preferred Stock ( 1 ) 09/21/2020 C 52,892 ( 1 ) ( 1 ) Common Stock 52,892 ( 1 ) 0 I See footnote ( 4 )
Series F Preferred Stock ( 1 ) 09/21/2020 C 331,020 ( 1 ) ( 1 ) Common Stock 331,020 ( 1 ) 0 I See footnote ( 2 )
Series F Preferred Stock ( 1 ) 09/21/2020 C 29,801 ( 1 ) ( 1 ) Common Stock 29,801 ( 1 ) 0 I See footnote ( 3 )
Series F Preferred Stock ( 1 ) 09/21/2020 C 10,585 ( 1 ) ( 1 ) Common Stock 10,585 ( 1 ) 0 I See footnote ( 4 )
Series G Preferred Stock ( 1 ) 09/21/2020 C 161,822 ( 1 ) ( 1 ) Common Stock 161,822 ( 1 ) 0 I See footnote ( 2 )
Series G Preferred Stock ( 1 ) 09/21/2020 C 14,568 ( 1 ) ( 1 ) Common Stock 14,568 ( 1 ) 0 I See footnote ( 3 )
Series G Preferred Stock ( 1 ) 09/21/2020 C 5,175 ( 1 ) ( 1 ) Common Stock 5,175 ( 1 ) 0 I See footnote ( 4 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Greylock XIII GP LLC
2550 SAND HILL ROAD, SUITE 200
MENLO PARK, CA94025
X
Greylock XIII Limited Partnership
2550 SAND HILL ROAD, SUITE 200
MENLO PARK, CA94025
X
Greylock XIII-A Limited Partnership
2550 SAND HILL ROAD, SUITE 200
MENLO PARK, CA94025
X
Signatures
/s/ Donald A. Sullivan, as Administrative Partner of Greylock XIII GP LLC 09/21/2020
Signature of Reporting Person Date
/s/ Donald A. Sullivan, as Administrative Partner of Greylock XIII GP LLC, the general partner of Greylock XIII Limited Partnership 09/21/2020
Signature of Reporting Person Date
/s/ Donald A. Sullivan, as Administrative Partner of Greylock XIII GP LLC, the general partner of Greylock XIII-A Limited Partnership 09/21/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series G Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
( 2 )These shares are held of record by Greylock XIII Limited Partnership ("Greylock XIII LP"). Greylock XIII GP LLC ("Greylock XIII GP") is the sole General Partner of Greylock XIII LP and may be deemed to share voting and dispositive power with respect to the shares held by Greylock XIII LP. Greylock XIII GP disclaims beneficial ownership of the securities held by Greylock XIII LP except to the extent of any pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission by Greylock XIII GP of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
( 3 )These shares are held of record by Greylock XIII-A Limited Partnership ("Greylock XIII-A LP"). Greylock XIII GP is the sole General Partner of Greylock XIII-A LP and may be deemed to share voting and dispositive power with respect to the shares held by Greylock XIII-A LP. Greylock XIII GP disclaims beneficial ownership of the securities held by Greylock XIII-A LP except to the extent of any pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission by Greylock XIII GP of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
( 4 )These shares are held of record by Greylock XIII GP.

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