0001104659-18-049958.txt : 20180806
0001104659-18-049958.hdr.sgml : 20180806
20180806213314
ACCESSION NUMBER: 0001104659-18-049958
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180509
FILED AS OF DATE: 20180806
DATE AS OF CHANGE: 20180806
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MAEDER PAUL A
CENTRAL INDEX KEY: 0001013713
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18996146
MAIL ADDRESS:
STREET 1: C/O HIGHLAND CAPITAL PARTNERS
STREET 2: HIGH ST TOWER 125 HIGH ST
CITY: BOSTON
STATE: MA
ZIP: 02110
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Carbon Black, Inc.
CENTRAL INDEX KEY: 0001366527
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 550810166
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1100 WINTER ST.
CITY: WALTHAM
STATE: MA
ZIP: 02451
BUSINESS PHONE: 617-393-7400
MAIL ADDRESS:
STREET 1: 1100 WINTER ST.
CITY: WALTHAM
STATE: MA
ZIP: 02451
FORMER COMPANY:
FORMER CONFORMED NAME: BIT9, INC.
DATE OF NAME CHANGE: 20110407
FORMER COMPANY:
FORMER CONFORMED NAME: BIT9 INC
DATE OF NAME CHANGE: 20060619
4
1
a4.xml
4
X0306
4
2018-05-09
0
0001366527
Carbon Black, Inc.
CBLK
0001013713
MAEDER PAUL A
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
1
0
0
0
Common Stock
2018-05-09
4
A
0
6007
0
A
6007
D
Common Stock
4270065
I
By Highland Capital Partners VI Limited Partnership
Common Stock
2340874
I
By Highland Capital Partners VI-B Limited Partnership
Common Stock
211495
I
By Highland Entrepreneurs' Fund VI Limited Partnership
Common Stock
1093318
I
By Highland Capital Partners VII Limited Partnership
Common Stock
264931
I
By Highland Capital Partners VII-B Limited Partnership
Common Stock
385824
I
By Highland Capital Partners VII-C Limited Partnership
Common Stock
34258
I
By Highland Entrepreneurs' Fund VII Limited Partnership
The shares were acquired pursuant to a restricted stock unit award under the 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Carbon Black, Inc. common stock. The restricted stock units vest on the earlier of (i) the first anniversary of the vesting commencement date, May 9, 2019 or (ii) the next annual meeting of the Carbon Black Inc.'s shareholders, subject to a continuous service relationship through such date.
The shares are held directly by Highland Capital Partners VI Limited Partnership ("Highland Capital VI"). The general partner of Highland Capital VI is Highland Management Partners VI Limited Partnership ("HMP VI LP"). The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Mr. Maeder is a managing director of Highland Management. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
The shares are held directly by Highland Capital Partners VI-B Limited Partnership ("Highland Capital VI-B"). The general partner of Highland Capital VI-B is HMP VI LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
The shares are held directly by Highland Entrepreneurs' Fund VI Limited Partnership ("Highland VI Entrepreneurs' Fund"). The general partner of Highland VI Entrepreneurs' Fund is HEF VI Limited Partnership ("HEF"). The general partner of HEF is Highland Management. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
The shares are held directly by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). The general partner of Highland Capital VII is Highland Management Partners VII Limited Partnership ("HMP VII LP"). The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Mr. Maeder is a managing director of HMP VII LLC. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
The shares are held directly by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). The general partner of Highland Capital VII-B is HMP VII LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
The shares are held directly by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). The general partner of Highland Capital VII-C is HMP VII LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
The shares are held directly by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland VII Entrepreneurs' Fund"). The general partner of Highland VII Entrepreneurs' Fund is HMP VII LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
/s/ Eric Pyenson, as attorney-in-fact
2018-08-06