0001209191-17-021163.txt : 20170316 0001209191-17-021163.hdr.sgml : 20170316 20170316175528 ACCESSION NUMBER: 0001209191-17-021163 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170316 FILED AS OF DATE: 20170316 DATE AS OF CHANGE: 20170316 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MULESOFT, INC CENTRAL INDEX KEY: 0001374684 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 205158650 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 77 GEARY ST. STREET 2: SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 415-229-2009 MAIL ADDRESS: STREET 1: 77 GEARY ST. STREET 2: SUITE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 FORMER COMPANY: FORMER CONFORMED NAME: MULESOFT INC DATE OF NAME CHANGE: 20100401 FORMER COMPANY: FORMER CONFORMED NAME: MULESOURCE INC DATE OF NAME CHANGE: 20060906 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PHILLIPS STUART G CENTRAL INDEX KEY: 0001225479 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 17695747 MAIL ADDRESS: STREET 1: 2735 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAY PARTNERS XI PARALLEL FUND L P CENTRAL INDEX KEY: 0001347244 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 17695748 BUSINESS ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 408-725-2444 MAIL ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bay Partners XI L P CENTRAL INDEX KEY: 0001327874 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 17695749 BUSINESS ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 408-725-2444 MAIL ADDRESS: STREET 1: 10600 N DE ANZA BLVD STREET 2: SUITE 100 CITY: CUPERTINO STATE: CA ZIP: 95014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bay Management Co XI LLC CENTRAL INDEX KEY: 0001513783 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38031 FILM NUMBER: 17695750 BUSINESS ADDRESS: STREET 1: 2180 SAND HILL ROAD STREET 2: SUITE 345 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-1500 MAIL ADDRESS: STREET 1: 2180 SAND HILL ROAD STREET 2: SUITE 345 CITY: MENLO PARK STATE: CA ZIP: 94025 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2017-03-16 0 0001374684 MULESOFT, INC MULE 0001513783 Bay Management Co XI LLC 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 0001327874 Bay Partners XI L P 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 0001347244 BAY PARTNERS XI PARALLEL FUND L P 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 0001225479 PHILLIPS STUART G 2180 SAND HILL ROAD, SUITE 345 MENLO PARK CA 94025 0 0 1 0 Series C Preferred Stock Common Stock 2090140 I See footnote Series C Preferred Stock Common Stock 10504 I See footnote Series D Preferred Stock Common Stock 3769208 I See footnote Series D Preferred Stock Common Stock 23516 I See footnote Series E Preferred Stock Common Stock 460637 I See footnote Series E Preferred Stock Common Stock 3153 I See footnote Series F Preferred Stock Common Stock 608264 I See footnote Series F Preferred Stock Common Stock 3917 I See footnote Series G Preferred Stock Common Stock 88498 I See footnote Series G Preferred Stock Common Stock 570 I See footnote The Series C Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series C Preferred Stock will be converted into shares of Common Stock. Each share of Common Stock shall be reclassified into one share of Class B Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock. Shares are held by Bay Partners XI, L.P. ("BP XI"). Bay Management Company XI, LLC ("BMC XI"), the general partner of BP XI, has sole voting and dispositive power with respect to the shares held by BP XI. Stuart G. Phillips, the managing member of BMC XI, has sole voting and dispositive power with respect to the shares held by BP XI. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities). Shares are held by Bay Partners XI Parallel Fund, L.P. ("Parallel XI"). BMC XI, the general partner of Parallel XI, has sole voting and dispositive power with respect to the shares held by Parallel XI. Stuart G. Phillips, the managing member of BMC XI, has sole voting and dispositive power with respect to the shares held by Parallel XI. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities). The Series D Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series D Preferred Stock will be converted into shares of Common Stock. The Series E Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series E Preferred Stock will be converted into shares of Common Stock. The Series F Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series F Preferred Stock will be converted into shares of Common Stock. The Series G Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series G Preferred Stock will be converted into shares of Common Stock. Bay Management Company XI, LLC /s/ Stuart G. Phillips, Managing Member 2017-03-16 Bay Partners XI, L.P., by Bay Management Company XI, LLC, its general partner /s/ Stuart G. Phillips, Managing Member 2017-03-16 Bay Partners XI Parallel Fund, L.P., by Bay Management Company XI, LLC, its general partner /s/ Stuart G. Phillips, Managing Member 2017-03-16 /s/ Stuart G. Phillips 2017-03-16