144 1 d736199d144.htm FORM 144 FORM 144

OMB APPROVAL

OMB Number:   3235-0101
Expires:   February 28, 2014
Estimated average burden
hours per response   1.00

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144

 

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

   SEC USE ONLY
  

DOCUMENT SEQUENCE NO.

 

  

CUSIP NUMBER

 

   WORK LOCATION
    
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker

 

1(a) NAME OF ISSUER (Please type or print)

Audience, Inc.        

 

(b) IRS IDENT. NO.

91-2061537        

 

(c) S.E.C. FILE NO.

001-35528        

1(d) ADDRESS OF ISSUER    STREET    CITY                   STATE              ZIP CODE       (e) TELEPHONE NO.
                 AREA CODE     NUMBER
     331 Fairchild Drive    Mountain View   CA      94043   (650)    254-2800        

2(a) NAME OF PERSON FOR WHOSE ACCOUNT
        THE SECURITIES ARE TO BE SOLD

Vulcan Capital Venture Capital I LLC        

 

(b) IRS IDENT. NO.


20-2659147

 

(c) RELATIONSHIP TO 
       ISSUER

Affiliate    

 

(d) ADDRESS STREET


505 Fifth Avenue South,

Suite 900

  

            CITY             


Seattle

    

        STATE        


WA

    

        ZIP CODE        


98104

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3(a)                    (b)         SEC USE ONLY    (c)    (d)   (e)    (f)    (g)

Title of the

Class of

Securities

To Be Sold

  

Name and Address of Each Broker Through Whom

the Securities are to be Offered or Each Market

Maker who is Acquiring the Securities

 

  

Broker-Dealer

File Number

  

Number of Shares

or Other Units

To Be Sold

(See instr. 3(c))

  

Aggregate

Market Value

 

(See instr. 3(d))

 

Number of Shares

or Other Units

Outstanding

(See instr. 3(e))

  

Approximate

Date of Sale

(See instr. 3(f))

(MO. DAY YR.)

  

Name of Each

Securities

Exchange

(See instr. 3(g))

Common Stock   

UBS Securities LLC

677 Washington Boulevard

Stamford CT 06901

        322,200    $3,813,011.46   22,371,401    June 3, 2014    NASDAQ Global Select Market
               
                                   
               
                                   

 

INSTRUCTIONS:

1.

  (a)   Name of issuer
  (b)   Issuer’s I.R.S. Identification Number
  (c)   Issuer’s S.E.C. file number, if any
 

(d)

(e)

 

Issuer’s address, including zip code

Issuer’s telephone number, including area code

2.

  (a)   Name of person for whose account the securities are to be sold
  (b)   ) Such person’s I.R.S. identification number, if such person is an entity
  (c)   Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
  (d)   Such person’s address, including zip code
3.   (a)   Title of the class of securities to be sold
  (b)   Name and address of each broker through whom the securities are intended to be sold
  (c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d)   Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
  (e)  

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

Approximate date on which the securities are to be sold

  (f)  
  (g)   Name of each securities exchange, if any, on which the securities are intended to be sold
 

 

Potential persons who are to respond to the collection of information contained in this form are not

required to respond unless the form displays a currently valid OMB control number.


TABLE I—SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

  

Date you  

Acquired  

   Nature of Acquisition Transaction   

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

   Amount of
Securities Acquired
  

Date of  

Payment  

   Nature of
Payment
             

Common Stock

 

   Pre-IPO    Common Stock    Audience, Inc.    322,200    5/15/2012    N/A
INSTRUCTIONS:    1.    If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.      2.       If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto.

 

 

TABLE II—SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller    Title of Securities Sold    Date of Sale        Amount of    
Securities Sold    
   Gross Proceeds    

Vulcan Capital Venture Capital I LLC

505 Fifth Avenue South, Suite 900

Seattle, WA 98104

   Common Stock    March 3, 2014    110,887    $1,275,200.50
         

Vulcan Ventures Incorporated

505 Fifth Avenue South, Suite 900

Seattle, WA 98104

   Common Stock    March 3, 2014    147,113    $1,691,799.50

REMARKS:

 

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

    

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.

June 3, 2014

Date of Notice

    

/s/ Susan Drake

Vice President, Vulcan Ventures Incorporated, the Managing Member of Vulcan Capital Venture Capital Management I LLC, the Manager of Vulcan Capital Venture Capital I LLC                                                     

(SIGNATURE)

 

    

(SIGNATURE)

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.

Any copies not manually signed shall bear typed or printed signatures.