Mulesoft (MULE) Form 4 MULESOFT / John Hummer ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

HUMMER WINBLAD VENTURE PARTNERS V LP

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
MULESOFT, INC [ MULE ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
09/21/2017

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Class A Common Stock	09/21/2017		C		17,847,745	A	(1)	17,847,745	D(2)(3)(4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Class B Common Stock(5)	(5)	09/21/2017		C			17,847,745	(5)	(5)	Class A Common Stock	17,847,745	$0.00	17,847,745	D(2)(3)(4)

1. Name and Address of Reporting Person^*

HUMMER WINBLAD VENTURE PARTNERS V LP

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Hummer Winblad Equity Partners V, LLC

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

HUMMER WINBLAD VENTURE PARTNERS V A LP

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Hummer Winblad Venture Partners VI, L.P.

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Hummer Winblad Equity Partners VI, L.L.C.

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

KERTZMAN MITCHELL

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Hummer John

(Last) (First) (Middle)

PIER 33 SOUTH

THE EMBARCADERO, SUITE 300

(Street)

SAN FRANCISCO CA 94111

(City) (State) (Zip)

Explanation of Responses:

1. This transaction involves the conversion of Class B Common Stock to Class A Common Stock on a 1:1 basis for no additional consideration.

2. Consists of 17,540,569 shares held of record by Hummer Winblad Venture Partners V, L.P. ("HWVP V") for itself and as nominee for Hummer Winblad Venture Partners V-A, L.P. ("HWVP V-A") and 307,176 shares held of record by Hummer Winblad Venture Partners VI, L.P. ("HWVP VI").

3. Hummer Winblad Equity Partners V, L.L.C. ("HW Equity V") is the general partner of HWVP V and HWVP V-A. John Hummer, Mitchell Kertzman and Ann Winblad are the managing members of HW Equity V and share voting and dispositive power with respect to the shares held of record by HWVP V and HWVP V-A. HW Equity V, Mr. Hummer, Mr. Kertzman and Ms. Winblad disclaim beneficial ownership of such shares except the extent of their pecuniary interests therein.

4. Hummer Winblad Equity Partners VI, L.L.C. ("HW Equity VI") is the general partner of HWVP VI. John Hummer, Mitchell Kertzman and Ann Winblad are the managing members of HW Equity VI and share voting and dispositive power with respect to the shares held of record by HWVP VI. HW Equity VI, Mr. Hummer, Mr. Kertzman and Ms. Winblad disclaim beneficial ownership of such shares except the extent of their pecuniary interests therein.

5. Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

Remarks:

This Form 4 is one of two Form 4s filed on the date hereof in respect of these shares. The Reporting Person on the other Form 4 is Ann Winblad.

	HUMMER WINBLAD VENTURE PARTNERS V, L.P., By: Hummer Winblad Equity Partners V, L.L.C., Its: General Partner, By: /s/ Ingrid Chiavacci, attorney-in-fact	09/25/2017
	HUMMER WINBLAD EQUITY PARTNERS V, L.L.C., By: /s/ Ingrid Chiavacci, attorney-in-fact	09/25/2017
	HUMMER WINBLAD VENTURE PARTNERS V-A, L.P., By: Hummer Winblad Equity Partners V, L.L.C., Its: General Partner, By: /s/ Ingrid Chiavacci, attorney-in-fact	09/25/2017
	HUMMER WINBLAD EQUITY PARTNERS VI, L.L.C., By: /s/ Ingrid Chiavacci, attorney-in-fact	09/25/2017
	HUMMER WINBLAD VENTURE PARTNERS VI, L.P., By: Hummer Winblad Equity Partners VI, L.L.C., Its: General Partner, By: /s/ Ingrid Chiavacci, attorney-in-fact	09/25/2017
	Mitchell Kertzman, By: /s/ Ingrid Chiavacci, attorney-in-fact	09/25/2017
	John Hummer, By: /s/ Ingrid Chiavacci, attorney-in-fact	09/25/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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