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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preference Shares | (1) | 10/15/2012 | C | 1,666,665 | (1) | (1) | Ordinary Shares | 1,666,665 | $ 0 | 0 | I | See Footnote (4) | |||
Series B Convertible Preference Shares | (2) | 10/15/2012 | C | 697,931 | (2) | (2) | Ordinary Shares | 697,931 | $ 0 | 0 | I | See Footnote (4) | |||
Series C Convertible Preference Shares | (3) | 10/15/2012 | C | 648,147 | (3) | (3) | Ordinary Shares | 648,147 | $ 0 | 0 | I | See Footnote (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TAN LIP BU ONE CALIFORNIA STREET SUITE 2800 SAN FRANCISCO, CA 94111 |
X |
Michael Morehead, by Power of Attorney | 10/15/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Series A Convertible Preference Shares converted into Ordinary Shares on a 1-to-1 basis and had no expiration date. |
(2) | The Series B Convertible Preference Shares converted into Ordinary Shares on a 1-to-1 basis and had no expiration date. |
(3) | The Series C Convertible Preference Shares converted into Ordinary Shares on a 1-to-1 basis and had no expiration date. |
(4) | Such shares are held by Pacven Walden Ventures V, L.P. and affiliated funds. Mr. Tan disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein. |