Home/Filings/4/0001072613-04-001905

4//SEC Filing

ADVANCED TECHNOLOGY VENTURES V LP 4

Accession 0001072613-04-001905

CIK 0001100124other

View on SEC.gov Company Profile

Filed

Oct 20, 8:00 PM ET

Accepted

Oct 21, 7:46 PM ET

Size

31.6 KB

Accession

0001072613-04-001905

Insider Transaction Report

Form 4

Period: 2004-10-19

CELEBRATE EXPRESS, INC.BDAY

SCHILLER PIETER J

10% Owner

Transactions

Sale
Common Stock
2004-10-19$15.50/sh−250,810$3,887,555→ 376,334 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−8,441→ 0 total
→ Common Stock (8,441 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−10,888→ 0 total
→ Common Stock (10,888 underlying)
Sale
Common Stock
2004-10-19$15.50/sh−9,097$141,004→ 13,527 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−236,189→ 0 total
→ Common Stock (236,189 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−300,123→ 0 total
→ Common Stock (300,123 underlying)
Conversion
Common Stock
2004-10-19+557,610→ 627,144 total
Conversion
Common Stock
2004-10-19+20,101→ 22,624 total
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−21,298→ 0 total
→ Common Stock (21,298 underlying)
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−722→ 0 total
→ Common Stock (722 underlying)

ADVANCED TECHNOLOGY VENTURES V LP

10% Owner

Transactions

Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−722→ 0 total
→ Common Stock (722 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−300,123→ 0 total
→ Common Stock (300,123 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−10,888→ 0 total
→ Common Stock (10,888 underlying)
Conversion
Common Stock
2004-10-19+20,101→ 22,624 total
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−21,298→ 0 total
→ Common Stock (21,298 underlying)
Sale
Common Stock
2004-10-19$15.50/sh−250,810$3,887,555→ 376,334 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−236,189→ 0 total
→ Common Stock (236,189 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-19−8,441→ 0 total
→ Common Stock (8,441 underlying)
Sale
Common Stock
2004-10-19$15.50/sh−9,097$141,004→ 13,527 total
Conversion
Common Stock
2004-10-19+557,610→ 627,144 total

Baloff Steven N

10% Owner

Transactions

Conversion
Common Stock
2004-10-19+20,101→ 22,624 total
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−722→ 0 total
→ Common Stock (722 underlying)
Conversion
Common Stock
2004-10-19+557,610→ 627,144 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−236,189→ 0 total
→ Common Stock (236,189 underlying)
Sale
Common Stock
2004-10-19$15.50/sh−250,810$3,887,555→ 376,334 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−8,441→ 0 total
→ Common Stock (8,441 underlying)
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−21,298→ 0 total
→ Common Stock (21,298 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−300,123→ 0 total
→ Common Stock (300,123 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−10,888→ 0 total
→ Common Stock (10,888 underlying)
Sale
Common Stock
2004-10-19$15.50/sh−9,097$141,004→ 13,527 total

ATV ENTREPRENEURS V LP

10% Owner

Transactions

Sale
Common Stock
2004-10-19$15.50/sh−9,097$141,004→ 13,527 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−236,189→ 0 total
→ Common Stock (236,189 underlying)
Conversion
Common Stock
2004-10-19+20,101→ 22,624 total
Sale
Common Stock
2004-10-19$15.50/sh−250,810$3,887,555→ 376,334 total
Conversion
Common Stock
2004-10-19+557,610→ 627,144 total
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−21,298→ 0 total
→ Common Stock (21,298 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-19−8,441→ 0 total
→ Common Stock (8,441 underlying)
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−722→ 0 total
→ Common Stock (722 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−300,123→ 0 total
→ Common Stock (300,123 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−10,888→ 0 total
→ Common Stock (10,888 underlying)

Carusi Michael A

10% Owner

Transactions

Conversion
Common Stock
2004-10-19+557,610→ 627,144 total
Sale
Common Stock
2004-10-19$15.50/sh−250,810$3,887,555→ 376,334 total
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−21,298→ 0 total
→ Common Stock (21,298 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-19−236,189→ 0 total
→ Common Stock (236,189 underlying)
Sale
Common Stock
2004-10-19$15.50/sh−9,097$141,004→ 13,527 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−8,441→ 0 total
→ Common Stock (8,441 underlying)
Conversion
Common Stock
2004-10-19+20,101→ 22,624 total
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−722→ 0 total
→ Common Stock (722 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−300,123→ 0 total
→ Common Stock (300,123 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−10,888→ 0 total
→ Common Stock (10,888 underlying)

ATV Associates V LLC

10% Owner

Transactions

Sale
Common Stock
2004-10-19$15.50/sh−250,810$3,887,555→ 376,334 total
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−21,298→ 0 total
→ Common Stock (21,298 underlying)
Exercise of In-Money
Series C Convertible Preferred Stock Warrants
2004-10-19−722→ 0 total
→ Common Stock (722 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−300,123→ 0 total
→ Common Stock (300,123 underlying)
Conversion
Common Stock
2004-10-19+20,101→ 22,624 total
Sale
Common Stock
2004-10-19$15.50/sh−9,097$141,004→ 13,527 total
Conversion
Series B Convertible Preferred Stock
2004-10-19−236,189→ 0 total
→ Common Stock (236,189 underlying)
Conversion
Series B Convertible Preferred Stock
2004-10-19−8,441→ 0 total
→ Common Stock (8,441 underlying)
Conversion
Series C Convertible Preferred Stock
2004-10-19−10,888→ 0 total
→ Common Stock (10,888 underlying)
Conversion
Common Stock
2004-10-19+557,610→ 627,144 total

Footnotes (5)

[F1]The Preferred Stock will automatically convert 1-for-1 into Common Stock upon the closing of the Issuer's initial public offering.
[F2]The shares are held by Advanced Technology Ventures V, L.P. Steven N. Baloff, Pieter J. Schiller and Michael A. Carusi are the managing directors (collectively, the "Managing Directors") of ATV Associates V, L.L.C., the general partner of Advanced Technology Ventures V, L.P. and ATV Entrepreneurs V, L.P., (collectively, "the funds") (the "General Partner"), and have shared voting and investment authority over these shares. The Managing Directors and General Partner disclaim beneficial ownership of the shares held by the funds, except to the extent of their pecuniary interest therein.
[F3]The shares are held by ATV Entrepreneurs V, L.P. The Managing Directors of the General Partner of the funds have shared voting and investment authority over these shares. The Managing Directors and General Partner disclaim beneficial ownership of the shares held by the funds, except to the extent of their pecuniary interest therein.
[F4]These securities will be net exercised for shares of Series C Preferred Stock upon the closing of the Issuer's initial public offering, which will be automatically converted 1-for-1 into shares of Common Stock. The number of shares of Series C Preferred Stock received was determined based upon the offering price of $15.50.
[F5]Immediately.

Documents

1 file

4
pro13008_ex.xmlPrimary

Issuer

CELEBRATE EXPRESS, INC.

CIK 0001100124

→

Entity typeother

Related Parties

filerCIK 0001065547

Filing Metadata

Form type: 4
Filed: Oct 20, 8:00 PM ET
Accepted: Oct 21, 7:46 PM ET
Size: 31.6 KB

View on SEC.gov