SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
WARBURG PINCUS & CO.

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/02/2014
3. Issuer Name and Ticker or Trading Symbol
YODLEE INC [ YDLE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 1,899,997 I See Footnote(1)(6)(7)(8)(9)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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 AA Preferred Stock (2) (2) Common Stock 4,137,383 (2) I See Footnote(1)(6)(7)(8)(9)
Series BB Preferred Stock (3) (3) Common Stock 1,701,689 (3) I See Footnote(1)(6)(7)(8)(9)
Series DD Preferred Stock (4) (4) Common Stock 421,622 (4) I See Footnote(5)(6)(7)(8)(9)
1. Name and Address of Reporting Person*
WARBURG PINCUS & CO.

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
WARBURG PINCUS LLC

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Warburg Pincus Private Equity VIII, L.P.

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
WP VIII Finance, L.P.

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Warburg Pincus Partners, L.P.

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Warburg Pincus Partners GP LLC

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
KAYE CHARLES R

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Landy Joseph P.

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
WPVIII GP, L.P.

(Last) (First) (Middle)
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. Shares are held directly by WP VIII Finance, L.P., a Delaware limited partnership ("WP VIII Finance").
2. Each share of Yodlee, Inc.'s (the "Issuer") Series AA Preferred Stock will automatically convert into one share of common stock upon the closing of the Issuer's initial public offering, and has no expiration date.
3. Each share of the Issuer's Series BB Preferred Stock will automatically convert into one share of common stock upon the closing of the Issuer's initial public offering, and has no expiration date.
4. Each share of the Issuer's Series DD Preferred Stock will automatically convert into one share of common stock upon the closing of the Issuer's initial public offering, and has no expiration date.
5. Shares are held directly by Warburg Pincus Private Equity VIII, L.P., a Delaware limited partnership ("WP VIII") and two of its affiliated partnerships (i) WP-WP VIII Investors, L.P., a Delaware limited partnership ("WP VIII Investors"), and (ii) Warburg Pincus Netherlands Private Equity VIII I C.V., a company incorporated under the laws of the Netherlands ("WP VIII Netherlands" and together with WP VIII Finance, WP VIII, and WP VIII Investors, the "WP VIII Funds").
6. WP VIII Finance is majority owned by WP VIII. WP VIII GP, L.P., a Delaware limited partnership ("WP VIII GP"), is the managing general partner of WP VIII Finance. WP VIII is the general partner of WP VIII GP. WP-WPVIII Investors LLC, a Delaware limited liability company ("WP VIII Investors LLC"), is the general partner of WP VIII Investors. Warburg Pincus Partners, L.P., a Delaware limited partnership and successor in interest to Warburg Pincus Partners LLC ("WP Partners"), is the sole member of WP VIII Investors LLC, and the general partner of WP VIII and WP VIII Netherlands. Warburg Pincus Partners GP LLC, a Delaware limited liability company ("WP GP LLC"), is the general partner of WP Partners. Warburg Pincus & Co., a New York general partnership ("WP"), is the managing member of WP GP LLC.
7. Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP VIII Funds. Charles R. Kaye and Joseph P. Landy are the Managing General Partners of WP, and the Managing Members and Co-Chief Executive Officers of WP LLC and may be deemed to control the Warburg Pincus Reporting Persons (as defined below).
8. Each of Messrs. Kaye and Landy, together with the WP VIII Funds, WP VIII GP, WP VIII Investors LLC, WP Partners, WP GP LLC, WP LLC and WP are collectively referred to herein as the "Warburg Pincus Reporting Persons." Each Warburg Pincus Reporting Person disclaims beneficial ownership with respect to any shares of Common Stock of the Issuer, except to the extent of its pecuniary interest in such shares of Common Stock and this report shall not be deemed an admission that for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, any of the reporting persons is the beneficial owner of these securities. The WP VIII Funds, WP VIII GP, WP Partners, WP GP LLC and WP are directors by deputization solely for purposes of Section 16 of the Exchange Act.
9. Information with respect to each of the Warburg Pincus Reporting Persons is given solely by such Warburg Pincus Reporting Person, and no Warburg Pincus Reporting Person has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Reporting Person.
Remarks:
*** The Power of Attorney given by each of Mr. Kaye and Mr. Landy was previously filed with the Securities & Exchange Commission on November 26, 2013 as an exhibit to a statement on Form 4 by Warburg Pincus Private Equity IX, L.P. with respect to Laredo Petroleum Holdings, Inc. and is hereby incorporated by reference.
By: Warburg Pincus & Co., as Managing Member of Warburg Pincus Partners GP LLC, as GP of Warburg Pincus Partners, L.P., as GP of Warburg Pincus Private Equity VIII, L.P., as GP of WPVIII GP, L.P., /s/ Robert B. Knauss, Partner 10/02/2014
WP VIII Finance, L.P. By: /s/ Robert B. Knauss Title: Authorized Signatory 10/02/2014
WARBURG PINCUS PRIVATE EQUITY VIII, L.P. By: Warburg Pincus Partners, L.P., its General Partner By: Warburg Pincus Partners GP LLC, its General Partner By: Warburg Pincus & Co., its Managing Member By: Name: /s/ Robert B. Knauss Title: Partner 10/02/2014
WARBURG PINCUS PARTNERS, L.P. By: Warburg Pincus Partners GP LLC, its General Partner By: Warburg Pincus & Co., its Managing Member By: Name: /s/ Robert B. Knauss Title: Partner 10/02/2014
WARBURG PINCUS PARTNERS GP LLC By: Warburg Pincus & Co., its Managing Member By: Name: /s/ Robert B. Knauss Title: Partner 10/02/2014
WARBURG PINCUS & CO. By: Name: /s/ Robert B. Knauss Title: Partner 10/02/2014
WARBURG PINCUS LLC By: Name: /s/ Robert B. Knauss Title: Managing Director 10/02/2014
CHARLES R. KAYE By: Name: /s/ Robert B. Knauss Title: Attorney-in-Fact*** 10/02/2014
JOSEPH P. LANDY By: Name: /s/ Robert B. Knauss Title: Attorney-in-Fact*** 10/02/2014
** 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 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).
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.