0001104659-18-030383.txt : 20180503
0001104659-18-030383.hdr.sgml : 20180503
20180503215849
ACCESSION NUMBER: 0001104659-18-030383
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180503
FILED AS OF DATE: 20180503
DATE AS OF CHANGE: 20180503
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Highland Capital Partners VII LP
CENTRAL INDEX KEY: 0001343678
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805895
BUSINESS ADDRESS:
STREET 1: 92 HAYDEN AVE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
MAIL ADDRESS:
STREET 1: 92 HAYDEN AVE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Highland Capital Partners VII-C LP
CENTRAL INDEX KEY: 0001343673
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805893
BUSINESS ADDRESS:
STREET 1: 92 HAYDEN AVE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
MAIL ADDRESS:
STREET 1: 92 HAYDEN AVE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HIGHLAND ENTREPRENEURS FUND VI LP
CENTRAL INDEX KEY: 0001156158
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805898
BUSINESS ADDRESS:
STREET 1: TWO INTERNATIONAL PLACE
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 617-531-1500
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HIGHLAND CAPITAL PARTNERS VI LP
CENTRAL INDEX KEY: 0001135500
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805899
BUSINESS ADDRESS:
STREET 1: TWO INTERNATIONAL PL
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 6175311500
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HIGHLAND CAPITAL PARTNERS VI-B LP
CENTRAL INDEX KEY: 0001135507
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805900
BUSINESS ADDRESS:
STREET 1: TWO INTERNATIONAL PL
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 6175311500
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HIGHLAND CAPITAL PARTNERS VII-B L P
CENTRAL INDEX KEY: 0001343244
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805894
BUSINESS ADDRESS:
STREET 1: 92 HAYDEN AVE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
BUSINESS PHONE: 781-861-5500
MAIL ADDRESS:
STREET 1: 92 HAYDEN AVE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Highland Management Partners VI, Inc.
CENTRAL INDEX KEY: 0001456415
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805902
BUSINESS ADDRESS:
STREET 1: 92 HAYDEN AVENUE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
BUSINESS PHONE: 781-861-5523
MAIL ADDRESS:
STREET 1: 92 HAYDEN AVENUE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Highland Management Partners VII Limited Partnership
CENTRAL INDEX KEY: 0001554027
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805896
BUSINESS ADDRESS:
STREET 1: ONE BROADWAY, 16TH FLOOR
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
BUSINESS PHONE: 617-401-4500
MAIL ADDRESS:
STREET 1: ONE BROADWAY, 16TH FLOOR
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Highland Management Partners VII, LLC
CENTRAL INDEX KEY: 0001554026
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805897
BUSINESS ADDRESS:
STREET 1: ONE BROADWAY, 16TH FLOOR
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
BUSINESS PHONE: 617-401-4500
MAIL ADDRESS:
STREET 1: ONE BROADWAY, 16TH FLOOR
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HIGHLAND MANAGEMENT PARTNERS VI L P
CENTRAL INDEX KEY: 0001253995
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38478
FILM NUMBER: 18805901
BUSINESS ADDRESS:
STREET 1: HIGHLAND CAPITAL PARTNERS
STREET 2: 92 HAYDEN AVENUE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
BUSINESS PHONE: 7818615500
MAIL ADDRESS:
STREET 1: HIGHLAND CAPITAL PARTNERS
STREET 2: 92 HAYDEN AVENUE
CITY: LEXINGTON
STATE: MA
ZIP: 02421
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
3
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a3.xml
3
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2018-05-03
0
0001366527
Carbon Black, Inc.
CBLK
0001456415
Highland Management Partners VI, Inc.
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001253995
HIGHLAND MANAGEMENT PARTNERS VI L P
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001135507
HIGHLAND CAPITAL PARTNERS VI-B LP
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001135500
HIGHLAND CAPITAL PARTNERS VI LP
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001156158
HIGHLAND ENTREPRENEURS FUND VI LP
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001554026
Highland Management Partners VII, LLC
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001554027
Highland Management Partners VII Limited Partnership
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001343678
Highland Capital Partners VII LP
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001343244
HIGHLAND CAPITAL PARTNERS VII-B L P
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
0001343673
Highland Capital Partners VII-C LP
C/O HIGHLAND CAPITAL PARTNERS
ONE BROADWAY, 16TH FLOOR
CAMBRIDGE
MA
02142
0
0
1
0
Common Stock
755904
I
By Highland Capital Partners VI Limited Partnership
Common Stock
414297
I
By Highland Capital Partners VI-B Limited Partnership
Common Stock
37436
I
By Highland Entrepreneurs' Fund VI Limited Partnership
Series B Convertible Preferred Stock
Common Stock
2397218
I
By Highland Capital Partners VI Limited Partnership
Series B Convertible Preferred Stock
Common Stock
1314233
I
By Highland Capital Partners VI-B Limited Partnership
Series B Convertible Preferred Stock
Common Stock
118736
I
By Highland Entrepreneurs' Fund VI Limited Partnership
Series C Convertible Preferred Stock
Common Stock
772043
I
By Highland Capital Partners VI Limited Partnership
Series C Convertible Preferred Stock
Common Stock
423259
I
By Highland Capital Partners VI-B Limited Partnership
Series C Convertible Preferred Stock
Common Stock
38240
I
By Highland Entrepreneurs' Fund VI Limited Partnership
Series D Convertible Preferred Stock
Common Stock
344900
I
By Highland Capital Partners VI Limited Partnership
Series D Convertible Preferred Stock
Common Stock
189085
I
By Highland Capital Partners VI-B Limited Partnership
Series D Convertible Preferred Stock
Common Stock
17083
I
By Highland Entrepreneurs' Fund VI Limited Partnership
Series E Convertible Preferred Stock
Common Stock
574937
I
By Highland Capital Partners VII Limited Partnership
Series E Convertible Preferred Stock
Common Stock
139318
I
By Highland Capital Partners VII-B Limited Partnership
Series E Convertible Preferred Stock
Common Stock
202891
I
By Highland Capital Partners VII-C Limited Partnership
Series E Convertible Preferred Stock
Common Stock
18015
I
By Highland Entrepreneurs' Fund VII Limited Partnership
Series F Convertible Preferred Stock
Common Stock
518381
I
By Highland Capital Partners VII Limited Partnership
Series F Convertible Preferred Stock
Common Stock
125613
I
By Highland Capital Partners VII-B Limited Partnership
Series F Convertible Preferred Stock
Common Stock
182933
I
By Highland Capital Partners VII-C Limited Partnership
Series F Convertible Preferred Stock
Common Stock
16243
I
By Highland Entrepreneurs' Fund VII Limited Partnership
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"). Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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. The general partner of HMP VI LP is Highland Management. Each of HMP VI LP and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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. Each of HEF and Highland Management disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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"). Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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. The general partner of HMP VII LP is HMP VII LLC. Each of HMP VII LP and HMP VII LLC disclaims Section 16 beneficial ownership of all shares except to the extent of his their pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
Each share of preferred stock is convertible into common stock on a 1-for-2 basis and has no expiration date. Upon the closing of the Issuer's initial public offering, all shares of preferred stock will automatically be converted into shares of Common Stock of the Issuer.
Because no more than 10 reporting persons can file any one Form 3 through the Securities and Exchange Commission's EDGAR system, Highland Entrepreneurs' Fund VII Limited Partnership has filed a separate Form 3. The Reporting Persons are jointly filing this Form 3 pursuant to Rule 16a-3(j) under the Exchange Act.
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VI, Inc.
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VI, Inc., the general partner of Highland Management Partners VI Limited Partnership
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VI, Inc., the general partner of Highland Management Partners VI Limited Partnership, the general partner of Highland Capital Partners VI Limited Partnership
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VI, Inc., the general partner of Highland Management Partners VI Limited Partnership, the general partner of Highland Capital Partners VI-B Limited Partnership
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VI, Inc., the general partner of Highland Management Partners VI Limited Partnership, the general partner of Highland Entrepreneurs' Fund VI Limited Partnership
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VII, LLC
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VII, LLC, the general partner of Highland Management Partners VII Limited Partnership
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VII, LLC, the general partner of Highland Management Partners VII Limited Partnership, the general partner of Highland Capital Partners VII Limited Partnership
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VII, LLC, the general partner of Highland Management Partners VII Limited Partnership, the general partner of Highland Capital Partners VII-B Limited Partnership
2018-05-03
/s/ Paul Maeder, Authorized Manager of Highland Management Partners VII, LLC, the general partner of Highland Management Partners VII Limited Partnership, the general partner of Highland Capital Partners VII-C Limited Partnership
2018-05-03