| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
MOBILEIRON, INC. [ MOBL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
|
3. Date of Earliest Transaction
(Month/Day/Year) 06/17/2014 | ||||||||||||||||||||||||||
|
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 06/17/2014 | C | 10,530,634 | A | (1)(4)(5)(6)(7)(8) | 10,530,634 | I | By Partnership(2)(3) | ||
| Common Stock | 06/17/2014 | C | 576,003 | A | (1)(4)(5)(6)(7)(8) | 11,106,637 | I | By Partnership(3)(9) | ||
| Common Stock | 06/17/2014 | C | 326,223 | A | (1)(4)(5)(6)(7)(8) | 11,432,860 | I | By Limited Liability Company(3)(10) | ||
| Comon Stock | 06/17/2014 | C | 770,138 | A | (6)(7) | 12,202,998 | I | By Partnership(3)(11) | ||
| Common Stock | 06/17/2014 | C | 530,484 | A | (7)(8) | 12,733,482 | I | By Partnership(3)(12) | ||
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Series A Preferred Stock | (1) | 06/17/2014 | C | 4,342,254 | (1) | (1) | Common Stock | 4,342,254 | $0 | 0 | I | By Partnership(2)(3) | |||
| Series B Preferred Stock | (4) | 06/17/2014 | C | 3,501,579 | (4) | (4) | Common Stock | 3,501,579 | $0 | 0 | I | By Partnership(2)(3) | |||
| Series C Preferred Stock | (5) | 06/17/2014 | C | 1,413,494 | (5) | (5) | Common Stock | 1,413,494 | $0 | 0 | I | By Partnership(2)(3) | |||
| Series D Preferred Stock | (6) | 06/17/2014 | C | 616,050 | (6) | (6) | Common Stock | 616,050 | $0 | 0 | I | By Partnership(2)(3) | |||
| Series E Preferred Stock | (7) | 06/17/2014 | C | 480,415 | (7) | (7) | Common Stock | 480,415 | $0 | 0 | I | By Partnership(2)(3) | |||
| Series F Preferred Stock | (8) | 06/17/2014 | C | 176,842 | (8) | (8) | Common Stock | 176,842 | $0 | 0 | I | By Partnership(2)(3) | |||
| Series A Preferred Stock | (1) | 06/17/2014 | C | 237,512 | (1) | (1) | Common Stock | 237,512 | $0 | 0 | I | By Partnership(3)(9) | |||
| Series B Preferred Stock | (4) | 06/17/2014 | C | 191,530 | (4) | (4) | Common Stock | 191,530 | $0 | 0 | I | By Partnership(3)(9) | |||
| Series C Preferred Stock | (5) | 06/17/2014 | C | 77,315 | (5) | (5) | Common Stock | 77,315 | $0 | 0 | I | By Partnership(3)(9) | |||
| Series D Preferred Stock | (6) | 06/17/2014 | C | 33,697 | (6) | (6) | Common Stock | 33,697 | $0 | 0 | I | By Partnership(3)(9) | |||
| Series E Preferred Stock | (7) | 06/17/2014 | C | 26,277 | (7) | (7) | Common Stock | 26,277 | $0 | 0 | I | By Partnership(3)(9) | |||
| Series F Preferred Stock | (8) | 06/17/2014 | C | 9,672 | (8) | (8) | Common Stock | 9,672 | $0 | 0 | I | By Partnership(3)(9) | |||
| Series A Preferred Stock | (1) | 06/17/2014 | C | 134,516 | (1) | (1) | Common Stock | 134,516 | $0 | 0 | I | By Limited Liability Company(3)(10) | |||
| Series B Preferred Stock | (4) | 06/17/2014 | C | 108,475 | (4) | (4) | Common Stock | 108,475 | $0 | 0 | I | By Limited Liability Company(3)(10) | |||
| Series C Preferred Stock | (5) | 06/17/2014 | C | 43,788 | (5) | (5) | Common Stock | 43,788 | $0 | 0 | I | By Limited Liability Company(3)(10) | |||
| Series D Preferred Stock | (6) | 06/17/2014 | C | 19,084 | (6) | (6) | Common Stock | 19,084 | $0 | 0 | I | By Limited Liability Company(3)(10) | |||
| Series E Preferred Stock | (7) | 06/17/2014 | C | 14,882 | (7) | (7) | Common Stock | 14,882 | $0 | 0 | I | By Limited Liability Company(3)(10) | |||
| Series F Preferred Stock | (8) | 06/17/2014 | C | 5,478 | (8) | (8) | Common Stock | 5,478 | $0 | 0 | I | By Limited Liability Company(3)(10) | |||
| Series D Preferred Stock | (6) | 06/17/2014 | C | 701,839 | (6) | (6) | Common Stock | 701,839 | $0 | 0 | I | By Partnership(3)(11) | |||
| Series E Preferred Stock | (7) | 06/17/2014 | C | 68,299 | (7) | (7) | Common Stock | 68,299 | $0 | 0 | I | By Partnership(3)(11) | |||
| Series E Preferred | (7) | 06/17/2014 | C | 521,576 | (7) | (7) | Common Stock | 521,576 | $0 | 0 | I | By Partnership(3)(12) | |||
| Series F Preferred | (8) | 06/17/2014 | C | 8,908 | (8) | (8) | Common Stock | 8,908 | $0 | 0 | I | By Partnership(3)(12) | |||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
|
| Explanation of Responses: |
| 1. The Series A Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| 2. The shares are held directly by Storm Ventures Fund III, L.P. ("SVF III"). |
| 3. Storm Ventures Associates III, L.L.C. (SVA III LLC) is the general partner of SVF III, SMI and SVAF III and the managing member of SVPF III. Ryan Floyd, M. Alex Mendez, Tae Hea Nahm and Sanjay Subhedar as the managing members of SVA III LLC share voting and investment power with respect to the shares held by SVF III, SMI, SVAF III and SVPF III. Storm Venture Associates IV, L.L.C. (SVA IV LLC) is the general partner of SVF IV. Ryan Floyd, M. Alex Mendez, Tae Hea Nahm and Sanjay Subhedar as the managing members of SVA IV LLC share voting and investment power with respect to the shares held by SVF IV. |
| 4. The Series B Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| 5. The Series C Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| 6. The Series D Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| 7. The Series E Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| 8. The Series F Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date. |
| 9. The shares are held directly by Storm Ventures Affiliates Fund III, L.P. ("SVAF III"). |
| 10. The shares are held directly by Storm Ventures Principals Fund III, L.L.C. ("SVPF III"). |
| 11. The shares are held directly by Storm MI Investments, L.P. ("SMI"). |
| 12. The shares are held directly by Storm Ventures Fund IV, L.P. ("SVF IV"). |
| See attched for signature pages. | 06/17/2014 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||