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(d) | | ☐ | | | | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C.80a-8); |
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(e) | | ☐ | | | | An investment adviser in accordance with§240.13d-1(b) (1)(ii)(E); |
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(f) | | ☐ | | | | An employee benefit plan or endowment fund in accordance with§240.13d-1(b) (1)(ii)(F); |
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(g) | | ☐ | | | | A parent holding company or control person in accordance with§240.13d-1(b) (1)(ii)(G); |
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(h) | | ☐ | | | | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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(i) | | ☐ | | | | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C.80a-3); |
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(j) | | ☐ | | | | Anon-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); |
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(k) | | ☐ | | | | Group, in accordance with §240.13d-1(b)(1)(ii)(K). |
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
Consists of 1,941,098 shares of common stock owned directly by Dover Street VII, L.P. HarbourVest Partners, LLC (“HarbourVest”) is the Managing Member of Dover VII Associates LLC, which is the General Partner of Dover VII Associates L.P., which is the General Partner of Dover Street VII, L.P. Each of HarbourVest, Dover VII Associates LLC and Dover VII Associates L.P. may be deemed to have a beneficial interest in the shares held by Dover Street VII L.P.
Voting and investment power over the securities owned directly by Dover Street VII L.P. is exercised by the Investment Committee of HarbourVest. Each of HarbourVest, Dover VII Associates LLC and Dover VII Associates L.P. and the members of the HarbourVest Investment Committee disclaim beneficial ownership of the shares held directly by Dover Street VII L.P.
(b) Percent of class:
5.02% (based on the Issuer’s aggregate of 38,630,145 shares of common stock outstanding as of October 31, 2018, as reported in the Issuer’s quarterly report onForm 10-Q, filed with the Securities and Exchange Commission on November 1, 2018.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
Dover Street VII L.P. has the sole power to vote or to direct the vote of 1,941,098 shares of common stock.
(ii) Shared power to vote or to direct the vote:
HarbourVest, Dover VII Associates LLC and Dover VII Associates L.P. may be deemed to have shared power to vote or direct the vote of 1,941,098 shares of common stock. Each of HarbourVest, Dover VII Associates LLC and Dover VII Associates L.P. disclaim such beneficial ownership of such shares.
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