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*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Tintri, Inc. [ TNTR ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 07/06/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | ||||||
Common Stock | 07/06/2017 | C | 1,712,655 | A | (1) | 1,737,981 | D(2)(3)(4) | |||
Common Stock | 07/06/2017 | C | 443,016 | A | (1) | 449,567 | D(3)(4)(5) | |||
Common Stock | 07/06/2017 | C | 61,122 | A | (1) | 62,026 | D(3)(4)(6) | |||
Common Stock | 07/06/2017 | C | 543,201 | A | (1) | 551,233 | D(3)(4)(7) | |||
Common Stock | 07/06/2017 | C | 2,759,994 | A | (1) | 2,800,807 | I | See footnotes(3)(4)(8) | ||
Common Stock | 07/06/2017 | C | 2,759,994 | A | (1) | 2,800,807 | I | See footnotes(3)(4)(9) | ||
Common Stock | 07/06/2017 | C | 2,759,994 | A | (1) | 2,800,807 | I | See footnotes(3)(4)(10)(11) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Series E Preferred | (1) | 07/06/2017 | C | 570,885 | (1) | (1) | Common Stock | 1,712,656 | $0 | 0 | D(2)(3)(4) | ||||
Series E Preferred | (1) | 07/06/2017 | C | 147,672 | (1) | (1) | Common Stock | 443,016 | $0 | 0 | D(3)(4)(5) | ||||
Series E Preferred | (1) | 07/06/2017 | C | 20,374 | (1) | (1) | Common Stock | 61,122 | $0 | 0 | D(3)(4)(6) | ||||
Series E Preferred | (1) | 07/06/2017 | C | 181,067 | (1) | (1) | Common Stock | 543,201 | $0 | 0 | D(3)(4)(7) | ||||
Series E Preferred | (1) | 07/06/2017 | C | 919,998 | (1) | (1) | Common Stock | 2,759,994 | $0 | 0 | I | See footnotes(3)(4)(8) | |||
Series E Preferred | (1) | 07/06/2017 | C | 919,998 | (1) | (1) | Common Stock | 2,759,994 | $0 | 0 | I | See footnotes(3)(4)(9) | |||
Series E Preferred | (1) | 07/06/2017 | C | 919,998 | (1) | (1) | Common Stock | 2,759,994 | $0 | 0 | I | See footnotes(3)(4)(10) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. The Series E Preferred Stock converted into the Issuer's common stock ("Common Stock") on a 3-for-1 basis and had no expiration date. |
2. Shares held of record by Insight Venture Partners VIII, L.P. ("IVP VIII"). |
3. The amount listed as owned by each of IVP VIII, Insight Venture Partners (Cayman) VIII, L.P. ("IVP Cayman VIII"), Insight Venture Partners VIII (Co-Investors), L.P. ("IVP VIII Co-Investors") and Insight Venture Partners (Delaware) VIII, L.P. ("IVP Delaware VIII" together with IVP VIII, IVP Cayman VIII and IVP VIII Co-Investors, the "IVP VIII Funds") may be deemed to be attributable to Insight Venture Associates VIII, L.P. ("IVPA VIII, L.P."), Insight Venture Associates VIII, Ltd. ("IVPA VIII, Ltd.") and Insight Holdings Group, LLC ("Holdings") because the general partner of the IVP VIII Funds is IVPA VIII, L.P., the general partner of which is IVPA VIII, Ltd., the sole shareholder of which is Holdings. |
4. Each of Jeffrey Horing, Deven Parekh, Peter Sobiloff, Michael Triplett and Jeffrey Lieberman is a member of the board of managers of Holdings and as such shares voting and dispositive power over the shares held by the IVP VIII Funds. The foregoing is not an admission by any of Holdings, IVPA VIII, L.P. or IVPA VIII, Ltd., that it is the beneficial owner of any of the shares held by the IVP VIII Funds. Each of Messrs. Horing, Parekh, Sobiloff, Triplett and Lieberman disclaims beneficial ownership of the shares held by the IVP VIII Funds except to the extent of his pecuniary interest therein. |
5. Shares held of record by IVP Cayman VIII. |
6. Shares held of record by IVP VIII Co-Investors. |
7. Shares held of record by IVP Delaware VIII. |
8. These shares are owned indirectly by IVPA VIII, L.P. See footnotes (3) and (4) above for a description of the relationship among the IVP VIII Funds, IVPA VIII L.P., IVPA VIII, Ltd. and Holdings. |
9. These shares are owned indirectly by IVPA VIII, Ltd. See footnotes (3) and (4) above for a description of the relationship among the IVP VIII Funds, IVPA VIII L.P., IVPA VIII, Ltd. and Holdings. |
10. These shares are owned indirectly by Holdings. See footnotes (3) and (4) above for a description of the relationship among the IVP VIII Funds, IVPA VIII L.P., IVPA VIII, Ltd. and Holdings. |
11. This report is the first of three filings mode on this 10th day of July, 2017, to report transactions that occurred on July 6, 2017 |
Remarks: |
Exhibit List: Exhibit 99.1 - Joint Filers' Signatures |
/s/ Insight Venture Associates VIII, L.P., its general partner | 07/10/2017 | |
/s/ Insight Venture Associates VIII, Ltd., its general partner | 07/10/2017 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |