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 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/02/2014 |
3. Issuer Name and Ticker or Trading Symbol
YODLEE INC [ YDLE ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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 | 30,000 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 DD Preferred Stock | (1) | (1) | Common Stock | 2,000 | (1) | D | |
Employee Stock Option (Right to Buy)(2) | 03/17/2005 | 02/17/2015 | Common Stock | 5,000 | $3.3 | D | |
Employee Stock Option (Right to Buy)(2) | 04/01/2006 | 03/16/2016 | Common Stock | 5,000 | $3.3 | D | |
Employee Stock Option (Right to Buy)(2) | 05/29/2009 | 04/29/2019 | Common Stock | 5,142 | $3.3 | D | |
Employee Stock Option (Right to Buy)(2) | 03/02/2010 | 02/01/2020 | Common Stock | 5,514 | $4.4 | D | |
Employee Stock Option (Right to Buy)(3)(9) | 04/23/2011 | 03/23/2021 | Common Stock | 3,348 | $6.3 | D | |
Employee Stock Option (Right to Buy)(4)(9) | 06/16/2012 | 05/16/2022 | Common Stock | 7,182 | $6.9 | D | |
Employee Stock Option (Right to Buy)(5)(9) | 05/01/2013 | 04/09/2023 | Common Stock | 7,500 | $8.5 | D | |
Employee Stock Option (Right to Buy)(6)(9) | 05/15/2015 | 04/01/2024 | Common Stock | 8,815 | $12 | D | |
Restricted Stock Unit | (7) | (7) | Common Stock | 2,409 | $0.001(8) | D |
Explanation of Responses: |
1. 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. |
2. 100% of the shares subject to the option are fully vested and exercisable as of the date hereof. |
3. 1/48th of the shares subject to the option became vested and exercisable on April 23, 2011 and 1/48th of the shares subject to the option vest and become exercisable each month thereafter, provided reporting person continues to provide services to the issuer as of each vest date. |
4. 1/48th of the shares subject to the option became vested and exercisable on June 16, 2012 and 1/48th of the shares subject to the option vest and become exercisable each month thereafter, provided reporting person continues to provide services to the issuer as of each vest date. |
5. 1/48th of the shares subject to the option became vested and exercisable on May 1, 2013 and 1/48th of the shares subject to the option vest and become exercisable each month thereafter, provided reporting person continues to provide services to the issuer as of each vest date. |
6. 100% of the shares subject to the option will become vested and exercisable on the earlier of May 15, 2015 or the date of the Issuer's annual meeting of stockholders held in 2015, provided reporting person continues to provide services to the issuer as of such vest date. |
7. 100% of the restricted stock unit will become vested on May 15, 2015, provided reporting person continues to provide services to the issuer as of each vest date. Shares will be delivered to reporting person on each vest date. |
8. Represents par value of Issuer's Common Stock. |
9. In the event of a change of control (as defined in the option agreement), 100% of the shares subject to the option shall vest and become exercisable. |
Remarks: |
/s/William Harris | 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. |