CIRINO MARIA 4
4 · Carbon Black, Inc. · Filed May 10, 2018
Insider Transaction Report
Form 4
CIRINO MARIA
Director
Transactions
- Conversion
Series C Convertible Preferred Stock
2018-05-08−4,695→ 0 total(indirect: By Point 406 Ventures I-A, L.P.)→ Common Stock (2,347 underlying) - Conversion
Series E Convertible Preferred Stock
2018-05-08−1,879,052→ 0 total(indirect: By LLC)→ Common Stock (939,526 underlying) - Conversion
Series F Convertible Preferred Stock
2018-05-08−1,469→ 0 total(indirect: By Point 406 Ventures I-A, L.P.)→ Common Stock (734 underlying) - Conversion
Common Stock
2018-05-08+480,750→ 480,750 total(indirect: By LLC) - Conversion
Series B Convertible Preferred Stock
2018-05-08−14,581→ 0 total(indirect: By Point 406 Ventures I-A, L.P.)→ Common Stock (7,290 underlying) - Conversion
Series D Convertible Preferred Stock
2018-05-08−414,237→ 0 total(indirect: By Point 406 Ventures I, L.P.)→ Common Stock (207,118 underlying) - Conversion
Series D Convertible Preferred Stock
2018-05-08−2,017→ 0 total(indirect: By Point 406 Ventures I-A, L.P.)→ Common Stock (1,008 underlying) - Conversion
Series E Convertible Preferred Stock
2018-05-08−2,417→ 0 total(indirect: By Point 406 Ventures I-A, L.P.)→ Common Stock (1,208 underlying) - Conversion
Series C Convertible Preferred Stock
2018-05-08−964,406→ 0 total(indirect: By Point 406 Ventures I, L.P.)→ Common Stock (482,203 underlying) - Conversion
Series E Convertible Preferred Stock
2018-05-08−496,476→ 0 total(indirect: By Point 406 Ventures I, L.P.)→ Common Stock (248,238 underlying) - Conversion
Series F Convertible Preferred Stock
2018-05-08−301,785→ 0 total(indirect: By Point 406 Ventures I, L.P.)→ Common Stock (150,892 underlying) - Conversion
Series F Convertible Preferred Stock
2018-05-08−961,501→ 0 total(indirect: By LLC)→ Common Stock (480,750 underlying) - Conversion
Common Stock
2018-05-08+2,585,705→ 3,000,833 total(indirect: By Point 406 Ventures I, L.P.) - Conversion
Common Stock
2018-05-08+12,587→ 14,426 total(indirect: By Point 406 Ventures I-A, L.P.) - Conversion
Common Stock
2018-05-08+939,526→ 939,526 total(indirect: By LLC) - Conversion
Series B Convertible Preferred Stock
2018-05-08−2,994,508→ 0 total(indirect: By Point 406 Ventures I, L.P.)→ Common Stock (1,497,254 underlying)
Footnotes (5)
- [F1]The shares are held directly by Point 406 Ventures I, L.P. ("Point 406 Ventures I"). The general partner of Point 406 Ventures I is .406 Ventures I GP, L.P. (".406 Ventures I GP"). The general partner of .406 Ventures I GP is .406 Ventures I GP, LLC. Ms. Cirino is a Managing Partner of .406 Ventures I GP, LLC and disclaims Section 16 beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F2]The shares are held directly by Point 406 Ventures I-A, L.P. ("Point 406 Ventures I-A"). The general partner of Point 406 Ventures I-A is .406 Ventures I GP. Ms. Cirino disclaims beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F3]The shares are held directly by 1941 Co-Invest, LLC. ("1941 Co-Invest"). The general partner of 1941 Co-Invest is .406 Ventures I GP. Ms. Cirino disclaims beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F4]The shares are held directly by B941, LLC ("B941"). The general partner of B941 is 406 Ventures I GP. Ms. Cirino disclaims beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F5]Each share of preferred stock automatically converted into shares of Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.