Home/Filings/4/0001104659-18-032301

4//SEC Filing

Highland Capital Partners VII LP 4

Accession 0001104659-18-032301

CIK 0001366527other

View on SEC.gov Company Profile

Filed

May 9, 8:00 PM ET

Accepted

May 10, 9:25 PM ET

Size

74.6 KB

Accession

0001104659-18-032301

Insider Transaction Report

Form 4

Period: 2018-05-08

Carbon Black, Inc.CBLK

HIGHLAND MANAGEMENT PARTNERS VI L P

10% Owner

Transactions

Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)

HIGHLAND CAPITAL PARTNERS VI-B LP

10% Owner

Transactions

Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)

Highland Management Partners VI, Inc.

10% Owner

Transactions

Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)

HIGHLAND CAPITAL PARTNERS VI LP

10% Owner

Transactions

Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)

Highland Capital Partners VII LP

10% Owner

Transactions

Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)

HIGHLAND CAPITAL PARTNERS VII-B L P

10% Owner

Transactions

Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)

HIGHLAND ENTREPRENEURS FUND VI LP

10% Owner

Transactions

Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)

Highland Management Partners VII Limited Partnership

10% Owner

Transactions

Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)

Highland Capital Partners VII-C LP

10% Owner

Transactions

Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)

Highland Management Partners VII, LLC

10% Owner

Transactions

Conversion
Series C Convertible Preferred Stock
2018-05-08−846,518→ 0 total(indirect: By Partnership)
→ Common Stock (423,259 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−76,480→ 0 total(indirect: By Partnership)
→ Common Stock (38,240 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−378,171→ 0 total(indirect: By Partnership)
→ Common Stock (189,085 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−34,166→ 0 total(indirect: By Partnership)
→ Common Stock (17,083 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−405,783→ 0 total(indirect: By Partnership)
→ Common Stock (202,891 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−365,866→ 0 total(indirect: By Partnership)
→ Common Stock (182,933 underlying)
Conversion
Common Stock
2018-05-08+3,514,161→ 4,270,065 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+1,926,577→ 2,340,874 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+174,059→ 211,495 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+34,258→ 34,258 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−4,794,437→ 0 total(indirect: By Partnership)
→ Common Stock (2,397,218 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−1,036,762→ 0 total(indirect: By Partnership)
→ Common Stock (518,381 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−251,227→ 0 total(indirect: By Partnership)
→ Common Stock (125,613 underlying)
Conversion
Series F Convertible Preferred Stock
2018-05-08−32,486→ 0 total(indirect: By Partnership)
→ Common Stock (16,243 underlying)
Conversion
Common Stock
2018-05-08+1,093,318→ 1,093,318 total(indirect: By Partnership)
Conversion
Common Stock
2018-05-08+385,824→ 385,824 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−237,472→ 0 total(indirect: By Partnership)
→ Common Stock (118,736 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−278,637→ 0 total(indirect: By Partnership)
→ Common Stock (139,318 underlying)
Conversion
Common Stock
2018-05-08+264,931→ 264,931 total(indirect: By Partnership)
Conversion
Series B Convertible Preferred Stock
2018-05-08−2,628,466→ 0 total(indirect: By Partnership)
→ Common Stock (1,314,233 underlying)
Conversion
Series C Convertible Preferred Stock
2018-05-08−1,544,087→ 0 total(indirect: By Partnership)
→ Common Stock (772,043 underlying)
Conversion
Series D Convertible Preferred Stock
2018-05-08−689,800→ 0 total(indirect: By Partnership)
→ Common Stock (344,900 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−1,149,874→ 0 total(indirect: By Partnership)
→ Common Stock (574,937 underlying)
Conversion
Series E Convertible Preferred Stock
2018-05-08−36,031→ 0 total(indirect: By Partnership)
→ Common Stock (18,015 underlying)

Footnotes (8)

[F1]Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.
[F2]The shares are held directly by Highland Capital Partners VI Limited Partnership ("Highland Capital VI"). The general partner of Highland Capital VI is Highland Management Partners VI Limited Partnership ("HMP VI LP"). The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
[F3]The shares are held directly by Highland Capital Partners VI-B Limited Partnership ("Highland Capital VI-B"). The general partner of Highland Capital VI-B is HMP VI LP. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
[F4]The shares are held directly by Highland Entrepreneurs' Fund VI Limited Partnership ("Highland VI Entrepreneurs' Fund"). The general partner of Highland VI Entrepreneurs' Fund is HEF VI Limited Partnership ("HEF"). The general partner of HEF is Highland Management. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
[F5]The shares are held directly by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). The general partner of Highland Capital VII is Highland Management Partners VII Limited Partnership ("HMP VII LP"). The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
[F6]The shares are held directly by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). The general partner of Highland Capital VII-B is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
[F7]The shares are held directly by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). The general partner of Highland Capital VII-C is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
[F8]The shares are held directly by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland VII Entrepreneurs' Fund"). The general partner of Highland VII Entrepreneurs' Fund is HMP VII LP. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of his their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

Documents

1 file

4
a4.xmlPrimary
4

Issuer

Carbon Black, Inc.

CIK 0001366527

→

Entity typeother

Related Parties

filerCIK 0001343678

Filing Metadata

Form type: 4
Filed: May 9, 8:00 PM ET
Accepted: May 10, 9:25 PM ET
Size: 74.6 KB

View on SEC.gov