ADESTO TECHNOLOGIES Corp 4

Accession 0001140361-15-039518

CIK 0001395848operating

Filed

Nov 2, 7:00 PM ET

Accepted

Nov 3, 7:47 PM ET

Size

24.7 KB

Accession

0001140361-15-039518

Form 4

Period: 2015-10-30

Director10% Owner

Transactions

Conversion
Common Stock
2015-10-30+473,025→ 673,025 total(indirect: See footnote)
Conversion
Common Stock
2015-10-30+45,907→ 718,932 total(indirect: See footnote)
Conversion
Series D-1 Preferred Stock
2015-10-30−29,930→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (29,930 underlying)
Conversion
Common Stock
2015-10-30+1,050,936→ 1,769,868 total(indirect: See footnote)
Conversion
Series B Preferred Stock
2015-10-30−180,375→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (180,375 underlying)
Conversion
Series D Preferred Stock
2015-10-30−44,438→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (45,907 underlying)
Conversion
Series E Preferred Stock
2015-10-30−106,326→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (1,050,936 underlying)
Conversion
Series A Preferred Stock
2015-10-30−198,412→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (198,412 underlying)
Conversion
Series C Preferred Stock
2015-10-30−64,308→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (64,308 underlying)

Director10% Owner

Transactions

Conversion
Common Stock
2015-10-30+45,907→ 718,932 total(indirect: See footnote)
Conversion
Series A Preferred Stock
2015-10-30−198,412→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (198,412 underlying)
Conversion
Series D Preferred Stock
2015-10-30−44,438→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (45,907 underlying)
Conversion
Series E Preferred Stock
2015-10-30−106,326→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (1,050,936 underlying)
Conversion
Series C Preferred Stock
2015-10-30−64,308→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (64,308 underlying)
Conversion
Common Stock
2015-10-30+473,025→ 673,025 total(indirect: See footnote)
Conversion
Common Stock
2015-10-30+1,050,936→ 1,769,868 total(indirect: See footnote)
Conversion
Series B Preferred Stock
2015-10-30−180,375→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (180,375 underlying)
Conversion
Series D-1 Preferred Stock
2015-10-30−29,930→ 0 total(indirect: See footnote)
Exercise: $0.00→ Common Stock (29,930 underlying)

Footnotes (4)

[F1]In connection with the consummation of the Issuer's initial public offering on October 30, 2015, each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D-1 Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
[F2]The securities are held directly by Harris & Harris Group, Inc. ("Harris & Harris"). Mr. Andreev is an executive vice president and managing director of Harris & Harris.
[F3]In connection with the consummation of the Issuer's initial public offering on October 30, 2015, each share of Series D Preferred Stock automatically converted into 1.0330576 shares of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
[F4]In connection with the consummation of the Issuer's initial public offering on October 30, 2015, each share of Series E Preferred Stock automatically converted into 9.8841 shares of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.

Documents

1 file

ADESTO TECHNOLOGIES Corp

CIK 0001395848

Entity typeoperating