SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/02/2021 | 3. Issuer Name and Ticker or Trading Symbol Oblong, Inc. [ OBLG ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1,554,541 | I | See footnote(1) |
Common Stock | 945,168 | I | See footnote(2) |
Common Stock | 91,182 | I | See footnote(3) |
Common Stock | 1,101,770 | I | See footnote(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
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 securities are directly held by Greenspring Opportunities III, L.P. ("Opportunities III"). Greenspring Opportunities General Partners III, L.P. is the general partner of Opportunities III, and Greenspring Opportunities GP III, LLC is the general partner of Greenspring General Partners III, L.P. Greenspring Associates, LLC (???Greenspring???) is the sole member of Greenspring Opportunities GP III, LLC. Charles Ashton Newhall and James Lin are the directors of Greenspring. The Reporting Persons disclaim beneficial ownership in the reported securities except to the extent of its or his pecuniary interest. |
2. The securities are directly held by Greenspring Global Partners VII-A, L.P. ("Global Partners VII-A"). Greenspring General Partner VII, L.P. is the general partner of Global Partners VII-A, and Greenspring GP VII, Ltd. is the general partner of Greenspring General Partner VII, L.P. Greenspring is the sole member of Greenspring GP VII, Ltd. Mr. Newhall and Mr. Lin are the directors of Greenspring. The Reporting Persons disclaim beneficial ownership in the reported securities except to the extent of its or his pecuniary interest. |
3. The securities are directly held by Greenspring Global Partners VII-C, L.P. ("Global Partners VII-C"). Greenspring General Partner VII, L.P. is the general partner of Global Partners VII-C, and Greenspring GP VII, Ltd. is the general partner of Greenspring General Partner VII, L.P. Greenspring is the sole member of Greenspring GP VII, Ltd. Mr. Newhall and Mr. Lin are the directors of Greenspring. The Reporting Persons disclaim beneficial ownership in the reported securities except to the extent of its or his pecuniary interest. |
4. The securities are directly held by Greenspring Opportunities IV, L.P. ("Opportunities IV"). Greenspring Opportunities General Partner IV, L.P. is the general partner of Opportunities IV, and Greenspring Opportunities GP IV, LLC is the general partner of Greenspring General Partner IV, L.P. Greenspring is the sole member of Greenspring Opportunities GP IV, LLC. Mr. Newhall and Mr. Lin are the directors of Greenspring. The Reporting Persons disclaim beneficial ownership in the reported securities except to the extent of its or his pecuniary interest. |
Remarks: |
Exhibit 24 - Power of Attorney |
/s/ Eric Thompson - for Greenspring Associates, LLC, By: Eric Thompson, Chief Operating Officer | 02/12/2021 | |
/s/ Eric Thompson - for C. Ashton Newhall, as Attorney-in-Fact | 02/12/2021 | |
/s/ Eric Thompson - for James Lim, as Attorney-in-Fact | 02/12/2021 | |
/s/ Eric Thompson - for Greenspring Opportunities III, L.P., By: Eric Thompson, COO of Greenspring Associates, LLC, sole member of Greenspring Opportunities GP III, LLC, gp of Greenspring Opportunities General Partner III, L.P., its gp | 02/12/2021 | |
/s/ Eric Thompson - for Greenspring Global Partners VII-A, L.P., By: Eric Thompson, COO of Greenspring Associates, LLC, sole member of Greenspring GP VII, Ltd., gp of Greenspring General Partner VII, L.P., its gp | 02/12/2021 | |
/s/ Eric Thompson - for Greenspring Global Partners VII-C, L.P., By: Eric Thompson, COO of Greenspring Associates, LLC, sole member of Greenspring GP VII, Ltd., gp of Greenspring General Partner VII, L.P., its gp | 02/12/2021 | |
/s/ Eric Thompson - for Greenspring Opportunities IV, L.P., By: Eric Thompson, COO of Greenspring Associates LLC, sole member of Greenspring Opportunities GP IV, LLC, gp of Greenspring Opportunities General Partner IV, L.P., its gp | 02/12/2021 | |
** 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 5 (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. |