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RT SQ Special Opportunities, LLC 4

Accession 0001104659-15-081149

CIK 0001512673other
View on SEC.govCompany Profile

Filed

Nov 23, 7:00 PM ET

Accepted

Nov 24, 4:52 PM ET

Size

37.9 KB

Accession

0001104659-15-081149

Insider Transaction Report

Form 4
Period: 2015-11-24
Square, Inc.SQ
RT-SQ Secondary, LLC
10% Owner
Transactions
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
RT SQ Co-Invest II LLC
10% Owner
Transactions
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
RT-SQ TS, LLC
10% Owner
Transactions
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
Giampetroni John
10% Owner
Transactions
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
RIZVI SUHAIL
10% Owner
Transactions
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
Rizvi Traverse CI GP, LLC
10% Owner
Transactions
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
Rizvi Traverse Management, LLC
10% Owner
Transactions
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
RT SQ Special Opportunities, LLC
10% Owner
Transactions
  • Other

    Common Stock

    2015-11-24−999,998→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2015-11-24−628,960→ 0 total(indirect: See footnote)
  • Purchase

    Class A Common Stock

    2015-11-24$9.00/sh+750,000$6,750,000→ 750,000 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
    → Class A Common Stock (999,998 underlying)
  • Other

    Class B Common Stock

    2015-11-24+902,150→ 902,150 total(indirect: See footnote)
    → Class A Common Stock (902,150 underlying)
  • Conversion

    Common Stock

    2015-11-24+999,998→ 999,998 total(indirect: See footnote)
  • Conversion

    Series E Preferred Stock

    2015-11-24−485,014→ 0 total(indirect: See footnote)
    → Common Stock (999,998 underlying)
  • Other

    Common Stock

    2015-11-24−902,150→ 0 total(indirect: See footnote)
  • Other

    Class A Common Stock

    2015-11-24−750,000→ 0 total(indirect: See footnote)
  • Other

    Class B Common Stock

    2015-11-24+628,960→ 628,960 total(indirect: See footnote)
    → Class A Common Stock (628,960 underlying)
Footnotes (8)
  • [F1]The Series E Preferred Stock automatically converted into Common Stock on a 1:2.0618 basis immediately prior to the closing of the Issuer's initial public offering, and had no expiration date.
  • [F2]Shares held directly by RT SQ Co-Invest II, LLC. Rizvi Traverse CI GP, LLC (the manager of RT SQ Co-Invest II, LLC), and John Giampetroni and Suhail Rizvi (the managers of Rizvi Traverse CI GP, LLC) have sole voting and investment power over the securities held by RT SQ Co-Invest II, LLC. Such persons and entities disclaim beneficial ownership of shares held by RT SQ Co-Invest II, LLC except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
  • [F3]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.
  • [F4]Shares held directly by RT SQ Secondary, LLC. Rizvi Traverse CI GP, LLC (the manager of RT SQ Secondary, LLC), and John Giampetroni and Suhail Rizvi (the managers of Rizvi Traverse CI GP, LLC) have sole voting and investment power over the securities held by RT SQ Secondary, LLC. Such persons and entities disclaim beneficial ownership of shares held by RT SQ Secondary, LLC except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
  • [F5]Shares held directly by RT-SQ TS, LLC. Rizvi Traverse CI GP, LLC (the manager of RT-SQ TS, LLC), and John Giampetroni and Suhail Rizvi (the managers of Rizvi Traverse CI GP, LLC) have sole voting and shared investment power over the securities held by RT-SQ TS, LLC. Such persons and entities disclaim beneficial ownership of shares held by RT-SQ TS, LLC except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
  • [F6]Shares held directly by RT SQ Special Opportunities, LLC. Rizvi Traverse CI GP, LLC (the manager of RT SQ Special Opportunities, LLC), and John Giampetroni and Suhail Rizvi (the managers of Rizvi Traverse CI GP, LLC) have sole voting and investment power over the securities held by RT SQ Special Opportunities, LLC. Such persons and entities disclaim beneficial ownership of shares held by RT SQ Special Opportunities, LLC except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
  • [F7]The transaction reported on this line represents a pro rata liquidating distribution, and not a purchase or sale of securities, by RT SQ Special Opportunities, LLC, to its members without consideration.
  • [F8]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.

Documents

1 file

Issuer

Square, Inc.

CIK 0001512673

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001658427

Filing Metadata

Form type
4
Filed
Nov 23, 7:00 PM ET
Accepted
Nov 24, 4:52 PM ET
Size
37.9 KB
View on SEC.gov