4//SEC Filing
CELEBRATE EXPRESS, INC. 4
Accession 0000950005-04-000762
CIK 0001100124operating
Filed
Oct 24, 8:00 PM ET
Accepted
Oct 25, 5:05 PM ET
Size
24.4 KB
Accession
0000950005-04-000762
Insider Transaction Report
Form 4
CELEBRATE EXPRESS, INC.(BDAY)
Sigma Associates IV, L.P.
10% Owner
Transactions
- Sale
Common Stock
2004-10-22$15.50/sh−309,063$4,790,477→ 309,062 total(indirect: See Footnote (4)) - Conversion
Series C Preferred Stock
2004-10-22−325,419→ 0 total(indirect: See Footnote (3) (7))→ Common Stock (325,419 underlying) - Conversion
Common Stock
2004-10-22+238,794→ 292,706 total(indirect: See Footnote (2)) - Exercise of In-Money
Warrants to Puchase Series C Preferred Stock
2004-10-22−3→ 0 total(indirect: See Footnote (4) (7))→ Series C Preferred Stock (21,541 underlying) - Conversion
Common Stock
2004-10-22+325,419→ 618,125 total(indirect: See Footnote (3)) - Conversion
Series B Preferred Stock
2004-10-22−238,794→ 0 total(indirect: See Footnote (2) (7))→ Common Stock (238,794 underlying)
SIGMA MANAGEMENT IV LLC
10% Owner
Transactions
- Conversion
Series B Preferred Stock
2004-10-22−238,794→ 0 total(indirect: See Footnote (2) (7))→ Common Stock (238,794 underlying) - Conversion
Common Stock
2004-10-22+325,419→ 618,125 total(indirect: See Footnote (3)) - Conversion
Series C Preferred Stock
2004-10-22−325,419→ 0 total(indirect: See Footnote (3) (7))→ Common Stock (325,419 underlying) - Conversion
Common Stock
2004-10-22+238,794→ 292,706 total(indirect: See Footnote (2)) - Exercise of In-Money
Warrants to Puchase Series C Preferred Stock
2004-10-22−3→ 0 total(indirect: See Footnote (4) (7))→ Series C Preferred Stock (21,541 underlying) - Sale
Common Stock
2004-10-22$15.50/sh−309,063$4,790,477→ 309,062 total(indirect: See Footnote (4))
Sigma Investors IV, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2004-10-22+238,794→ 292,706 total(indirect: See Footnote (2)) - Conversion
Common Stock
2004-10-22+325,419→ 618,125 total(indirect: See Footnote (3)) - Sale
Common Stock
2004-10-22$15.50/sh−309,063$4,790,477→ 309,062 total(indirect: See Footnote (4)) - Conversion
Series C Preferred Stock
2004-10-22−325,419→ 0 total(indirect: See Footnote (3) (7))→ Common Stock (325,419 underlying) - Exercise of In-Money
Warrants to Puchase Series C Preferred Stock
2004-10-22−3→ 0 total(indirect: See Footnote (4) (7))→ Series C Preferred Stock (21,541 underlying) - Conversion
Series B Preferred Stock
2004-10-22−238,794→ 0 total(indirect: See Footnote (2) (7))→ Common Stock (238,794 underlying)
Sigma Partners IV, L.P.
10% Owner
Transactions
- Conversion
Series C Preferred Stock
2004-10-22−325,419→ 0 total(indirect: See Footnote (3) (7))→ Common Stock (325,419 underlying) - Conversion
Common Stock
2004-10-22+238,794→ 292,706 total(indirect: See Footnote (2)) - Conversion
Series B Preferred Stock
2004-10-22−238,794→ 0 total(indirect: See Footnote (2) (7))→ Common Stock (238,794 underlying) - Sale
Common Stock
2004-10-22$15.50/sh−309,063$4,790,477→ 309,062 total(indirect: See Footnote (4)) - Exercise of In-Money
Warrants to Puchase Series C Preferred Stock
2004-10-22−3→ 0 total(indirect: See Footnote (4) (7))→ Series C Preferred Stock (21,541 underlying) - Conversion
Common Stock
2004-10-22+325,419→ 618,125 total(indirect: See Footnote (3))
Footnotes (7)
- [F1]N/A - Securities were issued upon conversion of convertible preferred stock.
- [F2]These shares are owned directly as follows: (i) 165,204 shares held by Sigma Partners IV, L.P.; (ii) 66,981 shares held by Sigma Associates IV, L.P.; and (iii) 6,609 shares held by Sigma Investors IV, L.P. Sigma Management IV, L.L.C. (the "General Partner") is the general partner of Sigma Partners IV, L.P., Sigma Associates IV, L.P., and Sigma Investors IV, L.P. (the "Funds"). The General Partner disclaims beneficial ownership of all shares held by the Funds, except to the extent of the General Partner's pecuniary interest therein.
- [F3]These shares are owned directly as follows: (i) 228,402 shares held by Sigma Partners IV, L.P.; (ii) 87,431 shares held by Sigma Associates IV, L.P.; and (iii) 9,586 shares held by Sigma Investors IV, L.P. The General Partner disclaims beneficial ownership of all shares held by the Funds, except to the extent of the General Partner's pecuniary interest therein.
- [F4]Each of the Funds owned directly a warrant to purchase shares of Series C Preferred Stock, which, giving effect to the net exercise of these securities for Series C Preferred Stock, are owned directly as follows: (i) 14,858 shares held by Sigma Partners IV, L.P.; (ii) 6,023 shares held by Sigma Associates IV, L.P.; and (iii) 660 shares held by Sigma Investors IV, L.P. The General Partner disclaims beneficial ownership of all shares held by the Funds, except to the extent of the General Partner's pecuniary interest therein.
- [F5]These securities were automatically converted into Common Stock on a 1 to 1 basis upon the closing of the Issuer's initial public offering.
- [F6]N/A.
- [F7]Robert E. Davoli, Lawrence G. Finch, Clifford L. Haas, John R. Mandile, and Wade Woodson are the managing members of the General Partner (the "Managing Members"). Each Managing Member disclaims beneficial ownership of all securities held by the Funds and the General Partner, except to the extent of each Managing Member's pecuniary interest therein.
Issuer
CELEBRATE EXPRESS, INC.
CIK 0001100124
Entity typeoperating
Related Parties
1- filerCIK 0001100124
Filing Metadata
- Form type
- 4
- Filed
- Oct 24, 8:00 PM ET
- Accepted
- Oct 25, 5:05 PM ET
- Size
- 24.4 KB