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)
10/30/2017

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	10/30/2017		J(1)		876,590	D	$0.00	16,663,979	D(2)(3)
Class A Common Stock	10/30/2017		J(4)		65,872	A	$0.00	65,872	D(5)

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

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^*

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. Represents a pro-rata, in-kind distribution by Hummer Winblad Venture Partners V, L.P. ("HWVP V") without additional consideration, to its partners. HWVP V distributed an aggregate of 650,868 shares to its limited partners on a pro rata basis and 225,722 shares to its general partner, Hummer Winblad Equity Partners V, L.L.C. ("HW Equity V"). HW Equity V subsequently distributed 225,722 shares on a pro rata basis for no additional consideration to its members and assignees.

2. Consists of 16,655,209 shares held of record by HWVP V for itself and 8,770 shares held of record by HWVP V as nominee for Hummer Winblad Venture Partners V-A, L.P.

3. HW Equity V is the general partner of HWVP V. 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. 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. Represents a change in the form of ownership as a result of a pro-rata, in-kind distribution by HWVP V to HW Equity V and the subsequent pro-rata, in-kind distribution by HW Equity V to its members and assignees, including Mr. Hummer and Mr. Kertzman.

5. Consists of 32,936 shares held directly by Mr. Hummer and 32,936 shares held directly by Mr. Kertzman, who are each managing members of HW Equity V.

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	11/01/2017
	HUMMER WINBLAD EQUITY PARTNERS V, L.L.C., By: /s/ Ingrid Chiavacci, attorney-in-fact	11/01/2017
	Mitchell Kertzman, By: /s/ Ingrid Chiavacci, attorney-in-fact	11/01/2017
	John Hummer, By: /s/ Ingrid Chiavacci, attorney-in-fact	11/01/2017
	** 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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