Ascher Brian D. 4

Accession 0001544110-12-000002

CIK 0001129260other

View on SEC.gov Company Profile

Filed

Apr 3, 8:00 PM ET

Accepted

Apr 4, 9:23 PM ET

Size

46.3 KB

Accession

0001544110-12-000002

Insider Transaction Report

Form 4

Period: 2012-04-02

VOCERA COMMUNICATIONS, INC.VCRA

Ascher Brian D.

Director

Transactions

Conversion
Series E Convertible Pref St Purchase Warrant (right to buy)
2012-04-02−34,142→ 0 total(indirect: By Funds)
Exercise: $6.61Exp: 2015-10-19→ Series E Convertible Preferred Stock (34,142 underlying)
Exercise of In-Money
Common Stock
2012-04-02$17.78/sh+130,179$2,314,583→ 2,992,783 total(indirect: By Funds)
Sale
Put Option (obligation to buy)
2012-04-02−174,981→ 174,981 total(indirect: By Funds)
Exercise: $17.78From: 2012-04-02Exp: 2012-04-03→ Common Stock (174,981 underlying)
Exercise of In-Money
Put Option (obligation to buy)
2012-04-02−174,981→ 0 total(indirect: By Funds)
Exercise: $17.78From: 2012-04-02Exp: 2012-04-03→ Common Stock (174,981 underlying)
Exercise of In-Money
Stock Option (right to buy)
2012-04-02+19,240→ 19,240 total(indirect: By Funds)
Exercise: $0.30Exp: 2012-05-16→ Common Stock (19,240 underlying)
Exercise of In-Money
Stock Option (right to buy)
2012-04-02+25,562→ 25,562 total(indirect: By Funds)
Exercise: $1.08Exp: 2015-01-27→ Common Stock (25,562 underlying)
Conversion
Common Stock
2012-04-02+2,105,262→ 2,105,262 total(indirect: By Funds)
Conversion
Common Stock
2012-04-02+421,214→ 2,526,476 total(indirect: By Funds)
Conversion
Common Stock
2012-04-02+222,317→ 2,862,604 total(indirect: By Funds)
Conversion
Series D Convertible Preferred Stock
2012-04-02−421,214→ 0 total(indirect: By Funds)
→ Common Stock (421,214 underlying)
Conversion
Series F Convertible Preferred Stock
2012-04-02−222,317→ 0 total(indirect: By Funds)
→ Common Stock (222,317 underlying)
Purchase
Call Option (right to buy)
2012-04-02+1→ 1 total(indirect: By Funds)
Exercise: $17.78From: 2012-04-02Exp: 2012-04-03→ Common Stock (174,981 underlying)
Conversion
Common Stock Purchase Warrant (right to buy)
2012-04-02+34,142→ 34,142 total(indirect: By Funds)
Exercise: $6.61Exp: 2015-10-19→ Common Stock (34,142 underlying)
Conversion
Common Stock
2012-04-02+113,811→ 2,640,287 total(indirect: By Funds)
Conversion
Series C Convertible Preferred Stock
2012-04-02−2,105,262→ 0 total(indirect: By Funds)
→ Common Stock (2,105,262 underlying)
Conversion
Series E Convertible Preferred Stock
2012-04-02−113,811→ 0 total(indirect: By Funds)
→ Common Stock (113,811 underlying)

Footnotes (17)

[F1]Each share of Series C, Series D, Series E and Series F Convertible Preferred Stock converted into one share of common stock upon the completion of the Issuer's initial public offering and had no expiration date.
[F10]Consists of (i) 2,021,182 shares of Common Stock held by VA III, (ii) 454,765 shares of Common Stock held by VA, and (iii) 50,529 shares of Common Stock held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F11]Consists of (i) 2,112,231 shares of Common Stock held by VA III, (ii) 475,251 shares of Common Stock held by VA, and (iii) 52,805 shares of Common Stock held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F12]Consists of (i) 2,290,085 shares of Common Stock held by VA III, (ii) 515,268 shares of Common Stock held by VA, and (iii) 57,251 shares of Common Stock held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F13]Consists of the option to purchase from Robert Shostak of an aggregate of (i) 104,143 shares of Common Stock and options to purchase 35,842 shares of Common Stock, (ii) 23,432 shares of Common Stock and options to purchase 8,064 shares of Common Stock, and (iii) 2,604 shares of Common Stock and options to purchase 896 shares of Common Stock by VA III, VA and VEF III, respectively, at a per share price of $17.78 subject to that certain Put and Call Agreement with Dr. Shostak, as amended, as disclosed in the issuer's Form S-1 (the "Put/Call Agreement"). VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F14]Consists of the obligation to purchase from Dr. Shostak of an aggregate of (i) 104,143 shares of Common Stock and options to purchase 35,842 shares of Common Stock, (ii) 23,432 shares of Common Stock and options to purchase 8,064 shares of Common Stock, and (iii) 2,604 shares of Common Stock and options to purchase 896 shares of Common Stock by VA III, VA and VEF III, respectively, at a per share price of $17.78 subject to the Put/Call Agreement. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F15]Consists of options to purchase (i) 15,392 shares of Common Stock, (ii) 3,463 shares of Common Stock, and (iii) 385 shares of Common Stock by VA III, VA and VEF III, respectively, deemed acquired pursuant to the exercise by Dr. Shostak of the put option under the Put/Call Agreement. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F16]Consists of options to purchase (i) 20,450 shares of Common Stock, (ii) 4,601 shares of Common Stock, and (iii) 511 shares of Common Stock by VA III, VA and VEF III, respectively, deemed acquired pursuant to the exercise by Dr. Shostak of the put option under the Put/Call Agreement. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F17]Consists of (i) 2,394,228 shares of Common Stock held by VA III, (ii) 538,700 shares of Common Stock held by VA, and (iii) 59,855 shares of Common Stock held by VEF III of which 104,143 shares, 23,432 shares and 2,604 shares were deemed acquired by VA III, VA and VEF III, respectively, pursuant to the exercise by Dr. Shostak of the put option under the Put/Call Agreement. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F2]Consists of (i) 1,684,210 shares of Series C Preferred held by Venrock Associates III, L.P. ("VA III"), (ii) 378,947 shares of Series C Preferred held by Venrock Associates ("VA"), and (iii) 42,105 shares of Series C Preferred held by Venrock Entrepreneurs Fund III, L.P. ("VEF III"). Venrock Management III, LLC ("VM III") is the general partner of VA III. VEF Management III, LLC ("VEFM") is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F3]Consists of (i) 336,972 shares of Series D Preferred held by VA III, (ii) 75,818 shares of Series D Preferred held by VA, and (iii) 8,424 shares of Series D Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F4]Consists of (i) 91,049 shares of Series E Preferred held by VA III, (ii) 20,486 shares of Series E Preferred held by VA, and (iii) 2,276 shares of Series E Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F5]Consists of (i) 177,854 shares of Series F Preferred held by VA III, (ii) 40,017 shares of Series F Preferred held by VA, and (iii) 4,446 shares of Series F Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F6]Immediately exercisable.
[F7]Consists of (i) 27,315 shares of Series E Preferred issuable upon the exercise of warrants held by VA III, (ii) 6,145 shares of Series E Preferred issuable upon the exercise of warrants held by VA, and (iii) 682 shares of Series E Preferred issuable upon the exercise of warrants held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F8]Consists of (i) 27,315 shares of Common Stock issuable upon the exercise of warrants held by VA III, (ii) 6,145 shares of Common Stock issuable upon the exercise of warrants held by VA, and (iii) 682 shares of Common Stock issuable upon the exercise of warrants held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.
[F9]Consists of (i) 1,684,210 shares of Common Stock held by VA III, (ii) 378,947 shares of Common Stock held by VA, and (iii) 42,105 shares of Common Stock held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

VOCERA COMMUNICATIONS, INC.

CIK 0001129260

→

Entity typeother

Related Parties

filerCIK 0001544110

Filing Metadata

Form type: 4
Filed: Apr 3, 8:00 PM ET
Accepted: Apr 4, 9:23 PM ET
Size: 46.3 KB

View on SEC.gov