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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STARK MICHAEL J TWO EMBARCADERO CENTER SUITE 2200 SAN FRANCISCO, CA 94111 |
X | Affiliate of Director | ||
Feuille James TWO EMBARCADERO SUITE 2200 SAN FRANCISCO, CA 94111 |
X | Affiliate of Director | ||
Finnie Charles H TWO EMBARCADERO CENTER SUITE 2200 SAN FRANCISCO, CA 94111 |
X | Affiliate of Director | ||
Alain S Harrus TWO EMBARCADERO CENTER SUITE 2200 SAN FRANCISCO, CA 94111 |
X | Affiliate of Director | ||
HROMADKO GARY 301 VELOCITY WAY 5TH FLOOR FOSTER CITY, CA 94404 |
X | Affiliate of Director | ||
MacNaughton Bruce TWO EMBARCADERO CENTER SUITE 2200 SAN FRANCISCO, CA 94111 |
X | Affiliate of Director | ||
Rip Peter D TWO EMBARCADERO CENTER SUITE 2200 SAN FRANCISCO, CA 94111 |
X | Affiliate of Director |
Michael J. Stark | 11/28/2007 | |
**Signature of Reporting Person | Date | |
James Feuille | 11/28/2007 | |
**Signature of Reporting Person | Date | |
Charles H. Finnie | 11/28/2007 | |
**Signature of Reporting Person | Date | |
Alain Harrus | 11/28/2007 | |
**Signature of Reporting Person | Date | |
Gary Hromadko | 11/28/2007 | |
**Signature of Reporting Person | Date | |
Bruce McNaughton | 11/28/2007 | |
**Signature of Reporting Person | Date | |
Peter D. Rip | 11/28/2007 | |
**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 reporting persons (the "Reporting Persons") are Crosslink Capital, Inc. ("Crosslink"), Crossover Fund III Management, L.L.C. ("Crossover III Management"), Crosslink Ventures IV Holdings, L.L.C. ("Ventures IV Holdings"), Crosslink Verwaltungs GmbH ("Verwaltungs"), Michael J. Stark, James Feuille, David I. Epstein, Daniel John Dunn, Thomas Edward Bliska, Charles Finnie, Peter D. Rip, Alain S. Harrus, Bruce MacNaughton and Gary Hromadko. Crosslink is an investment adviser to investment funds of which Crossover III Management, Ventures IV Holdings or Verwaltungs is the general partner, manager or the holder of Class B Units, and other investment funds. Crossover III Management is also the investment adviser to investment funds. |
(2) | Mr. Stark is the control person of Crosslink and Verwaltungs. Mr. Stark, Mr. Bliska and Mr. Dunn are the control persons of Crossover III Management. Mr. Stark, Mr. Bliska, Mr. Dunn, Mr. Epstein, Mr. Feuille, Mr. Finnie, Mr. Rip, Mr. Harrus and Mr. MacNaughton are the control persons of Ventures IV Holdings. Mr. Hromadko is a member of the Issuer's board of directors and serves as the representative of the Reporting Persons. |
(3) | The Reporting Persons are filing this Form 4 jointly, but not as a group, and each of them expressly disclaims membership in a group, within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934. These securities are held directly by investment funds to which Crosslink or Crossover III Management is investment adviser (the "Funds") for the benefit of the investors in the Funds. |
(4) | These securities are indirectly beneficially owned by Crosslink or Crossover III Management as the investment adviser to the Funds, by Crossover III Management, Ventures IV Holdings and Verwaltungs as the general partner, manager or holder of Class B Units of the Funds, and by Mr. Stark, Mr. Feuille, Mr. Epstein, Mr. Bliska and Mr. Dunn as the various control persons of those entities. The Reporting Persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
(5) | On November 27, 2007, certain of the Funds distributed these securities pro rata to their investors for no additional consideration, which securities previously were reported as indirectly beneficially owned by the Reporting Persons. The zero in Column 4 is a placeholder only that is required by the EDGAR software. |
(6) | These securities were received by the Stark Family Trust, of which Mr. Stark is Trustee and a beneficiary, for no consideration in the pro rata distribution described in Note 5. The zero in Column 4 is a placeholder only that is required by the EDGAR software. |
(7) | These securities were received by Mr. Bliska for no consideration in the pro rata distribution described in Note 5. The zero in Column 4 is a placeholder only that is required by the EDGAR software. |