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) 09/23/2021 | 3. Issuer Name and Ticker or Trading Symbol EngageSmart, Inc. [ ESMT ] | |||||||||||||
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, par value $0.001 per share | 26,926,752(1) | I | See Footnotes(2)(3)(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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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. Consists of (i) 19,327,768 shares of common stock held by Summit Partners Growth Equity Fund VIII-A, L.P., (ii) 7,060,848 shares of common stock held by Summit Partners Growth Equity Fund VIII-B, L.P., (iii) 128,222 shares of common stock held by Summit Partners Entrepreneur Advisors Fund I, L.P., (iv) 370,024 shares of common stock held by Summit Investors I, LLC and (v) 39,890 shares of common stock held by Summit Investors I (UK), L.P. |
2. Summit Partners, L.P. is the managing member of Summit Partners GE VIII, LLC, which is the general partner of Summit Partners GE VIII, L.P., which is the general partner of each of Summit Partners Growth Equity Fund VIII-A, L.P. and Summit Partners Growth Equity Fund VIII-B, L.P. |
3. Summit Master Company, LLC is the (A) sole managing member of Summit Partners Entrepreneur Advisors GP, LLC, which is the general partner of Summit Partners Entrepreneur Advisors Fund I, L.P., and (B) the managing member of Summit Investors Management, LLC, which is the manager of Summit Investors I, LLC and the general partner of Summit Investors I (UK), L.P. Summit Master Company, LLC, as the sole managing member of Summit Partners Entrepreneur Advisors GP, LLC and the managing member of Summit Investors Management, LLC, has delegated investment decisions, including voting and dispositive power, to Summit Partners, L.P. and its Investment Committee. Summit Partners, L.P., through a two-person Investment Committee currently composed of Martin J. Mannion and Peter Y. Chung, has voting and dispositive authority over the shares held by each of these entities and therefore beneficially owns such shares. |
4. (Continued from footnote 3) Each of the entities affiliated with Summit Partners, L.P. that are mentioned herein and each of Mr. Mannion and Mr. Chung disclaims beneficial ownership of the shares of common stock, in each case, except to the extent of it or his pecuniary interest therein. |
Remarks: |
/s/ Robin W. Devereux's, as attorney-in-fact for Summit Partners Growth Equity Fund VIII-A, L.P. | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Summit Partners Growth Equity Fund VIII-B, L.P. | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Summit Partners Entrepreneur Advisors Fund I, L.P. | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Summit Investors I, LLC | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Summit Investors I (UK), L.P. | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Summit Partners, L.P. | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Summit Master Company, LLC | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Peter Y. Chung | 09/23/2021 | |
/s/ Robin W. Devereux's, as attorney-in-fact for Martin J. Mannion | 09/23/2021 | |
** 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. |