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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | (1) | 11/18/2015 | C | 319,306 | (1) | (8) | Common Stock | 319,306 | $ 0 (1) | 0 | I | By Epic Expansion Capital Annex, LLC (2) | |||
Series A Preferred Stock | (1) | 11/18/2015 | C | 1,352,194 | (1) | (8) | Common Stock | 1,352,194 | $ 0 (1) | 0 | I | By Epic Venture Fund IV, LLC (2) | |||
Series A Preferred Stock | (1) | 11/18/2015 | C | 26,623 | (1) | (8) | Common Stock | 26,623 | $ 0 (1) | 0 | I | By Zions SBIC LLC (2) | |||
Series B Preferred Stock | (3) | 11/18/2015 | C | 784,314 | (3) | (8) | Common Stock | 784,314 | $ 0 (3) | 0 | I | By Epic Venture Fund IV, LLC (2) | |||
Series B Preferred Stock | (3) | 11/18/2015 | C | 784,313 | (3) | (8) | Common Stock | 784,313 | $ 0 (3) | 0 | I | By Zions SBIC LLC (2) | |||
Series C Preferred Stock | (4) | 11/18/2015 | C | 378,799 | (4) | (8) | Common Stock | 378,799 | $ 0 (4) | 0 | I | By Epic Venture Fund IV, LLC (2) | |||
Series C Preferred Stock | (4) | 11/18/2015 | C | 143,777 | (4) | (8) | Common Stock | 143,777 | $ 0 (4) | 0 | I | By Zions SBIC LLC (2) | |||
Series D Preferred Stock | (5) | 11/18/2015 | C | 62,892 | (5) | (8) | Common Stock | 62,892 | $ 0 (5) | 0 | I | By Epic Venture Fund IV, LLC (2) | |||
Series D Preferred Stock | (5) | 11/18/2015 | C | 213,836 | (5) | (8) | Common Stock | 213,836 | $ 0 (5) | 0 | I | By Zions SBIC LLC (2) | |||
Series E Preferred Stock | (6) | 11/18/2015 | C | 273,710 | (6) | (8) | Common Stock | 374,999 (6) | $ 0 (6) | 0 | I | By Epic Expansion Capital, LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Efstratis E. Nicholaus C/O INSTRUCTURE, INC. 6330 SOUTH 3000 EAST, SUITE 700 SALT LAKE CITY, UT 84121 |
X | X |
/s/ Matthew A. Kaminer, Attorney-in-Fact | 11/18/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The Series A Preferred Stock automatically converted into Common Stock on a 1-to-1 basis upon closing of the initial public offering of the Issuer. |
(2) | Mr. Efstratis has shared voting and investment power with respect to the shares held by Epic Expansion Capital Annex, LLC, Epic Expansion Capital, LLC, Epic Venture Fund IV, LLC and Zions SBIC LLC. Mr. Efstratis disclaims beneficial ownership of the securities held by such entities, except to the extent of any pecuniary interest therein. |
(3) | The Series B Preferred Stock automatically converted into Common Stock of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. |
(4) | The Series C Preferred Stock automatically converted into Common Stock of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. |
(5) | The Series D Preferred Stock automatically converted into Common Stock of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. |
(6) | The Series E Preferred Stock automatically converted into Common Stock of the Issuer on a 1-to-1.3700625 basis upon closing of the initial public offering of the Issuer. |
(7) | Mr. Efstratis has voting and dispositive power over the shares held by NKE Investments, LLC. |
(8) | Not applicable. |