0000899243-21-045839.txt : 20211123 0000899243-21-045839.hdr.sgml : 20211123 20211123175911 ACCESSION NUMBER: 0000899243-21-045839 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211119 FILED AS OF DATE: 20211123 DATE AS OF CHANGE: 20211123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pepper Douglas A CENTRAL INDEX KEY: 0001381839 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41065 FILM NUMBER: 211440189 MAIL ADDRESS: STREET 1: C/O INTERWEST PARTNERS STREET 2: 2710 SAND HILL ROAD, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Braze, Inc. CENTRAL INDEX KEY: 0001676238 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 452505271 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 330 WEST 34TH STREET, FLOOR 18 CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: (609) 964-0582 MAIL ADDRESS: STREET 1: 330 WEST 34TH STREET, FLOOR 18 CITY: NEW YORK STATE: NY ZIP: 10001 FORMER COMPANY: FORMER CONFORMED NAME: Appboy, Inc. DATE OF NAME CHANGE: 20160602 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-11-19 0 0001676238 Braze, Inc. BRZE 0001381839 Pepper Douglas A C/O ICONIQ CAPITAL 394 PACIFIC AVENUE, 2ND FLOOR SAN FRANCISCO CA 94111 1 0 0 0 Common Stock 2021-11-19 4 C 0 5224142 A 5517290 I By ICONIQ Strategic Partners III, L.P. Common Stock 2021-11-19 4 J 0 5517290 D 0 I By ICONIQ Strategic Partners III, L.P. Common Stock 2021-11-19 4 C 0 5582061 A 5895292 I By ICONIQ Strategic Partners III-B, L.P. Common Stock 2021-11-19 4 J 0 5895292 D 0 I By ICONIQ Strategic Partners III-B, L.P. Common Stock 2021-11-19 4 C 0 924889 A 924889 I By ICONIQ Strategic Partners V, L.P. Common Stock 2021-11-19 4 J 0 924889 D 0 I By ICONIQ Strategic Partners V, L.P. Common Stock 2021-11-19 4 C 0 1424796 A 1424796 I By ICONIQ Strategic Partners V-B, L.P. Common Stock 2021-11-19 4 J 0 1424796 D 0 I By ICONIQ Strategic Partners V-B, L.P. Class A Common Stock 2021-11-19 4 P 0 144576 65.00 A 144576 I By ICONIQ Strategic Partners VI, L.P. Class A Common Stock 2021-11-19 4 P 0 180424 65.00 A 180424 I By ICONIQ Strategic Partners VI-B, L.P. Series A Preferred Stock 2021-11-19 4 C 0 348940 0.00 D Common Stock 348940 0 I By ICONIQ Strategic Partners III, L.P. Series A Preferred Stock 2021-11-19 4 C 0 372847 0.00 D Common Stock 372847 0 I By ICONIQ Strategic Partners III-B, L.P. Series A Preferred Stock 2021-11-19 4 C 0 294274 0.00 D Common Stock 294274 0 I By ICONIQ Strategic Partners V, L.P. Series A Preferred Stock 2021-11-19 4 C 0 453327 0.00 D Common Stock 453327 0 I By ICONIQ Strategic Partners V-B, L.P. Series A Preferred Stock-NV 2021-11-19 4 C 0 261301 0.00 D Common Stock 261301 0 I By ICONIQ Strategic Partners III, L.P. Series A Preferred Stock-NV 2021-11-19 4 C 0 279203 0.00 D Common Stock 279203 0 I By ICONIQ Strategic Partners III-B, L.P. Series A-1 Preferred Stock 2021-11-19 4 C 0 198575 0.00 D Common Stock 198575 0 I By ICONIQ Strategic Partners III, L.P. Series A-1 Preferred Stock 2021-11-19 4 C 0 212180 0.00 D Common Stock 212180 0 I By ICONIQ Strategic Partners III-B, L.P. Series A-1 Preferred Stock-NV 2021-11-19 4 C 0 36820 0.00 D Common Stock 36820 0 I By ICONIQ Strategic Partners III, L.P. Series A-1 Preferred Stock-NV 2021-11-19 4 C 0 39343 0.00 D Common Stock 39343 0 I By ICONIQ Strategic Partners III-B, L.P. Series B Preferred Stock 2021-11-19 4 C 0 615922 0.00 D Common Stock 615922 0 I By ICONIQ Strategic Partners V, L.P. Series B Preferred Stock 2021-11-19 4 C 0 948834 0.00 D Common Stock 948834 0 I By ICONIQ Strategic Partners V-B, L.P. Series C Preferred Stock 2021-11-19 4 C 0 11487 0.00 D Common Stock 11487 0 I By ICONIQ Strategic Partners III, L.P. Series C Preferred Stock 2021-11-19 4 C 0 12273 0.00 D Common Stock 12273 0 I By ICONIQ Strategic Partners III-B, L.P. Series D Preferred Stock 2021-11-19 4 C 0 3600514 0.00 D Common Stock 3600514 0 I By ICONIQ Strategic Partners III, L.P. Series D Preferred Stock 2021-11-19 4 C 0 3847198 0.00 D Common Stock 3847198 0 I By ICONIQ Strategic Partners III-B, L.P. Series E Preferred Stock 2021-11-19 4 C 0 766505 0.00 D Common Stock 766505 0 I By ICONIQ Strategic Partners III, L.P. Series E Preferred Stock 2021-11-19 4 C 0 819017 0.00 D Common Stock 819017 0 I By ICONIQ Strategic Partners III-B, L.P. Series E Preferred Stock 2021-11-19 4 C 0 14693 0.00 D Common Stock 14693 0 I By ICONIQ Strategic Partners V, L.P. Series E Preferred Stock 2021-11-19 4 C 0 22635 0.00 D Common Stock 22635 0 I By ICONIQ Strategic Partners V-B, L.P. Class B Common Stock 2021-11-19 4 J 0 5517290 0.00 A Class A Common Stock 5517290 5517290 I By ICONIQ Strategic Partners III, L.P. Class B Common Stock 2021-11-19 4 J 0 5895292 0.00 A Class A Common Stock 5895292 5895292 I By ICONIQ Strategic Partners III-B, L.P. Class B Common Stock 2021-11-19 4 J 0 924889 0.00 A Class A Common Stock 924889 924889 I By ICONIQ Strategic Partners V, L.P. Class B Common Stock 2021-11-19 4 J 0 1424796 0.00 A Class A Common Stock 1424796 1424796 I By ICONIQ Strategic Partners V-B, L.P. Immediate prior to the closing of the Issuer's initial public offering, each share of Series A Preferred Stock, Series A Preferred Stock-NV, Series A-1 Preferred Stock, Series A-1 Preferred Stock-NV, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock (collectively, the "Preferred Stock") automatically converted on a one-for-one basis into common stock of the Issuer (the "Common Stock"). Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. The shares are held by ICONIQ Strategic Partners III, L.P. ("ICONIQ III"). The shares are held by ICONIQ Strategic Partners III-B, L.P. ("ICONIQ III-B"). The shares are held by ICONIQ Strategic Partners V, L.P. ("ICONIQ V"). The shares are held by ICONIQ Strategic Partners V-B, L.P. ("ICONIQ V-B"). The shares are held by ICONIQ Strategic Partners VI, L.P. ("ICONIQ VI"). The shares are held by ICONIQ Strategic Partners VI-B, L.P. ("ICONIQ VI-B"). ICONIQ Strategic Partners III GP, L.P. ("ICONIQ III GP") is the sole general partner of each of ICONIQ III and ICONIQ III-B. ICONIQ Strategic Partners III TT GP, Ltd. ("ICONIQ III Parent GP") is the sole general partner of ICONIQ III GP. ICONIQ Strategic Partners V GP, L.P. ("ICONIQ V GP") is the sole general partner of each of ICONIQ V and ICONIQ V-B. ICONIQ Strategic Partners V TT GP, Ltd. ("ICONIQ V Parent GP") is the sole general partner of ICONIQ V GP. ICONIQ Strategic Partners VI GP, L.P. ("ICONIQ VI GP") is the sole general partner of each of ICONIQ VI and ICONIQ VI-B. ICONIQ Strategic Partners VI TT GP, Ltd. ("ICONIQ VI Parent GP") is the sole general partner of ICONIQ VI GP. Divesh Makan ("Makan") and William J.G. Griffith ("Griffith") are the sole equity holders of ICONIQ III Parent GP. Makan, Griffith and Matthew Jacobson ("Jacobson") are the sole equity holders of each of ICONIQ V Parent GP and ICONIQ VI Parent GP. The Reporting Person is a partner at ICONIQ Capital and may have limited partner or other interests in one or more of the entities described herein. The Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 of the Exchange Act or any other purpose. These shares were purchased from the underwriters at the closing of the Issuer's initial public offering. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the transfer of such share of Class B Common Stock, except for certain transfers whereby the Reporting Person continues to hold sole voting and dispositive power with respect to each such share, (2) the death of a Class B common stockholder who is a natural person, (3) the last trading day of the fiscal quarter immediately following the fifth anniversary of the Issuer's initial public offering, (Continued from footnote 12), (4) the date specified by affirmative vote of the holders of a majority of the outstanding shares of Class B common stock and (5) the last trading day of the fiscal quarter during which the then outstanding shares of Class B Common Stock first represent less than 10% of the aggregate number of shares of the then outstanding Class A Common Stock and Class B Common Stock. /s/ Douglas A. Pepper 2021-11-23