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) 03/27/2012 |
3. Issuer Name and Ticker or Trading Symbol
VOCERA COMMUNICATIONS, INC. [ VCRA ] |
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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) |
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 D Convertible Preferred Stock | (1) | (1) | Common Stock | 20,478 | (1) | I | By Granite Global Ventures L.P.(2) |
Series D Convertible Preferred Stock | (1) | (1) | Common Stock | 1,198,469 | (1) | I | By Granite Global Ventures (Q.P.) L.P.(3) |
Series E Convertible Preferred Stock | (1) | (1) | Common Stock | 922 | (1) | I | By Granite Global Ventures L.P.(2) |
Series E Convertible Preferred Stock | (1) | (1) | Common Stock | 53,988 | (1) | I | By Granite Global Ventures (Q.P.) L.P.(3) |
Series F Convertible Preferred Stock | (1) | (1) | Common Stock | 6,013 | (1) | I | By Granite Global Ventures L.P.(2) |
Series F Convertible Preferred Stock | (1) | (1) | Common Stock | 351,914 | (1) | I | By Granite Global Ventures (Q.P.) L.P.(3) |
Series E Conv. Pref. Stock Purch. Warrant (Right to Buy) | (4) | 10/19/2015 | Series E Convertible Preferred Stock(1) | 276 | $6.61 | I | By Granite Global Ventures L.P.(2) |
Series E Conv. Pref. Stock Purch. Warrant (Right to Buy) | (4) | 10/19/2015 | Series E Convertible Preferred Stock(1) | 16,196 | $6.61 | I | By Granite Global Ventures (Q.P.) L.P.(3) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Each share of Series D, Series E and Series F Convertible Preferred Stock is convertible into one share of common stock upon the completion of the Issuer's initial public offering and has no expiration date. |
2. The shares are owned by Granite Global Ventures L.P. ("GGV LP"), which is under common control with Granite Global Ventures (Q.P.) L.P. ("QP LP"). Granite Global Ventures L.L.C. (the "General Partner") serves as the general partner of GGV LP and QP LP and possesses power to direct the voting and disposition of the shares owned by GGV LP and QP LP and may be deemed to have indirect beneficial ownership of the shares held by GGV LP and QP LP. The General Partner owns no securities of the Issuer directly. Messrs. Rothrock, Sun, Bonham, Kellman, Nada, and Ng are members of the investment committee of the General Partner and share voting and dispositive power over the shares held by GGV LP and QP LP. Mr. Nada is a director of the Issuer and, accordingly, files separate Section 16 reports. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein. |
3. The shares are owned by QP LP. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein. Mr. Nada is a director of the Issuer and, accordingly, files separate Section 16 reports. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein. |
4. Immediately exercisable. |
/s/ Hany M. Nada as Manager of Granite Global Ventures L.L.C. which serves as the sole General Partner to Granite Global Ventures L.P. | 03/27/2012 | |
/s/ Hany M. Nada as Manager of Granite Global Ventures L.L.C. which serves as the sole General Partner to Granite Global Ventures (Q.P.) L.P. | 03/27/2012 | |
/s/ Hany M. Nada as Manager of Granite Global Ventures L.L.C. | 03/27/2012 | |
/s/ Hany M. Nada as Attorney-in-Fact for Ray A. Rothrock | 03/27/2012 | |
/s/ Hany M. Nada as Attorney-in-Fact for Anthony Sun | 03/27/2012 | |
/s/ Hany M. Nada as Attorney-in-Fact for Scott B. Bonham | 03/27/2012 | |
/s/ Hany M. Nada as Attorney-in-Fact for Joel D. Kellman | 03/27/2012 | |
/s/ Hany M. Nada as Attorney-in-Fact for Thomas K. Ng | 03/27/2012 | |
** 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. |