1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series B Preferred Stock
|
(1)
|
(1)
|
Existing Class A Common Stock
|
271,070
|
$
(1)
|
I
|
See footnote
(2)
|
Series C Preferred Stock
|
(3)
|
(3)
|
Existing Class A Common Stock
|
199,219
|
$
(3)
|
D
|
|
Series D-1 Preferred Stock
|
(4)
|
(4)
|
Existing Class A Common Stock
|
62,255
|
$
(4)
|
D
|
|
Series C Preferred Stock
|
(3)
|
(3)
|
Existing Class A Common Stock
|
390,625
|
$
(3)
|
I
|
See footnote
(2)
|
Series D Preferred Stock
|
(5)
|
(5)
|
Existing Class A Common Stock
|
158,133
|
$
(5)
|
D
|
|
Series D-1 Preferred Stock
|
(4)
|
(4)
|
Existing Class A Common Stock
|
124,511
|
$
(4)
|
D
|
|
Series D-2 Preferred Stock
|
(6)
|
(6)
|
Existing Class A Common Stock
|
220,751
|
$
(6)
|
D
|
|
Series E Preferred Stock
|
(7)
|
(7)
|
Existing Class A Common Stock
|
38,183
|
$
(7)
|
D
|
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Subject to certain adjustments, the Series B Preferred Stock is convertible into Existing Class A Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the consummation of the Issuer's initial public offering, all shares of Series B Preferred Stock will automatically convert into shares of Existing Class A Common Stock of the Issuer. |
(2) |
Hercules Technology Growth Capital, Inc., the manager of Hercules Technology SBIC Management, LLC, the General Partner of Hercules Technology II, L.P., has sole voting and dispositive power with respect to the shares held by Hercules Technology II, L.P. and share voting and dispositive power with respect to the shares held by Hercules Technology II, L.P. |
(3) |
Subject to certain adjustments, the Series C Preferred Stock is convertible into Existing Class A Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the consummation of the Issuer's initial public offering, all shares of Series C Preferred Stock will automatically convert into shares of Existing Class A Common Stock of the Issuer. |
(4) |
Subject to certain adjustments, the Series D-1 Preferred Stock is convertible into Existing Class A Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the consummation of the Issuer's initial public offering, all shares of Series D-1 Preferred Stock will automatically convert into shares of Existing Class A Common Stock of the Issuer. |
(5) |
Subject to certain adjustments, the Series D Preferred Stock is convertible into Existing Class A Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the consummation of the Issuer's initial public offering, all shares of Series D Preferred Stock will automatically convert into shares of Existing Class A Common Stock of the Issuer. |
(6) |
Subject to certain adjustments, the Series D-2 Preferred Stock is convertible into Existing Class A Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the consummation of the Issuer's initial public offering, all shares of Series D-2 Preferred Stock will automatically convert into shares of Existing Class A Common Stock of the Issuer. |
(7) |
Subject to certain adjustments, the Series E Preferred Stock is convertible into Existing Class A Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the consummation of the Issuer's initial public offering, all shares of Series E Preferred Stock will automatically convert into shares of Existing Class A Common Stock of the Issuer. |