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 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BAKBONE SOFTWARE INC [ BKBO.PK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/07/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 07/07/2010 | A | 2,168,169 | A | $0 | 10,556,616 | I | See Footnote.(1) | ||
Common Stock | 07/07/2010 | A | 188,536 | A | $0 | 917,966 | I | See Footnote.(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 |
Explanation of Responses: |
1. Shares are held directly by JK&B Capital IV, L.P. ("JK&B"). JK&B Management IV, L.P. ("JK&B Management") is the general partner of JK&B. David Kronfeld ("Kronfeld") is the managing member and has certain voting rights in JK&B Capital IV, L.L.C. ("JK&B Capital), which is the general partner of JK&B Management. Each of JK&B Management, JK&B Capital and Kronfeld may be deemed to have sole voting and dispositive power over the shares which are owned directly by JK&B, but each disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
2. Shares are held directly by JK&B Capital IV QIP, L.P. ("JK&B QIP"). JK&B Management IV, L.P. ("JK&B Management") is the general partner of JK&B QIP. David Kronfeld ("Kronfeld") is the managing member and has certain voting rights in JK&B Capital IV, L.L.C. ("JK&B Capital), which is the general partner of JK&B Management. Each of JK&B Management, JK&B Capital and Kronfeld may be deemed to have sole voting and dispositive power over the shares which are owned directly by JK&B QIP, but each disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
/s/ Nancy O'Leary, by Power of Attorney for David Kronfeld | 07/09/2010 | |
/s/ JK&B Capital IV, L.P., by JK&B Management IV, L.P., its General Partner, by JK&B Capital IV, L.L.C., its General Partner, by Nancy O'Leary, by Power of Attorney for David Kronfeld, its Managing Member | 07/09/2010 | |
/s/ JK&B Capital IV QIP, L.P., by JK&B Management IV, L.P., its General Partner, by JK&B Capital IV, L.L.C., its General Partner, by Nancy O'Leary, by Power of Attorney for David Kronfeld, its Managing Member | 07/09/2010 | |
/s/ JK&B Management IV, L.P., by JK&B Capital IV, L.L.C., its General Partner, by Nancy O'Leary, by Power of Attorney for David Kronfeld, its Managing Member | 07/09/2010 | |
/s/ JK&B Capital IV, L.L.C., by Nancy O'Leary, by Power of Attorney for David Kronfeld, its Managing Member | 07/09/2010 | |
** 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. |