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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 C Convertible Preferred Stock | (1) | 07/05/2011 | C | 48,195 | (1) | (1) | Common Stock | 48,195 | $ 0 | 0 | I | By Redpoint Associates I, LLC (2) (13) | |||
Series D Convertible Preferred Stock | (3) | 07/05/2011 | C | 29,845 | (3) | (3) | Common Stock | 29,845 | $ 0 | 0 | I | By Redpoint Associates I, LLC (2) (13) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 21,784 | (1) | (1) | Common Stock | 21,784 | $ 0 | 0 | I | By Redpoint Associates II, LLC (6) (13) | |||
Series D Convertible Preferred Stock | (3) | 07/05/2011 | C | 13,490 | (3) | (3) | Common Stock | 13,490 | $ 0 | 0 | I | By Redpoint Associates II, LLC (6) (13) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 1,879,605 | (1) | (1) | Common Stock | 1,879,605 | $ 0 | 0 | I | By Redpoint Ventures I, L.P. (7) (13) | |||
Series D Convertible Preferred Stock | (3) | 07/05/2011 | C | 1,163,962 | (3) | (3) | Common Stock | 1,163,962 | $ 0 | 0 | I | By Redpoint Ventures I, L.P. (7) (13) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 942,116 | (1) | (1) | Common Stock | 942,116 | $ 0 | 0 | I | By Redpoint Ventures II, L.P. (8) (13) | |||
Series D Convertible Preferred Stock | (3) | 07/05/2011 | C | 583,413 | (3) | (3) | Common Stock | 583,413 | $ 0 | 0 | I | By Redpoint Ventures II, L.P. (8) (13) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 14,924 | (1) | (1) | Common Stock | 14,924 | $ 0 | 0 | I | By Redpoint Technology Partners A-1, L.P. (9) (13) | |||
Series D Convertible Preferred Stock | (3) | 07/05/2011 | C | 6,327 | (3) | (3) | Common Stock | 6,327 | $ 0 | 0 | I | By Redpoint Technology Partners A-1, L.P. (9) (13) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 93,376 | (1) | (1) | Common Stock | 93,376 | $ 0 | 0 | I | By Redpoint Technology Partners Q-1, L.P. (10) (13) | |||
Series D Convertible Preferred Stock | (3) | 07/05/2011 | C | 39,589 | (3) | (3) | Common Stock | 39,589 | $ 0 | 0 | I | By Redpoint Technology Partners Q-1, L.P. (10) (13) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 18,270 | (1) | (1) | Common Stock | 18,270 | $ 0 | 0 | I | By Redpoint Omega Associates, LLC (11) (13) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 646,066 | (1) | (1) | Common Stock | 646,066 | $ 0 | 0 | I | By Redpoint Omega, L.P. (12) (13) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BRODY JEFFREY D 3000 SAND HILL ROAD BUILDING 2, SUITE 290 MENLO PARK, CA 94025 |
X | X |
/s/ Melissa Frug?? (as Attorney-in-Fact) | 07/05/2011 | |
**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 C Convertible Preferred Stock, which was previously convertible at any time and had no expiration date, converted into HomeAway, Inc. common stock on a one-for-one basis. |
(2) | The Shares are owned by Redpoint Associates I, LLC ("RA I"). Redpoint Ventures I, LLC ("RV I LLC") serves as the Manager of RA I, and has sole voting and investment control over the shares owned by RA I, and may be deemed to beneficially own the shares held by RA I. RV I LLC owns no securities of the Issuer directly. |
(3) | The Series D Convertible Preferred Stock, which was previously convertible at any time and had no expiration date, converted into HomeAway, Inc. common stock on a one-for-one basis. |
(4) | The reported securities were mandatorily redeemable by HomeAway, Inc. upon the closing of its initial public offering and were accordingly redeemed by HomeAway, Inc. at a price equal to $1.40 per share plus an additional amount equal to the accumulated dividends on such shares for aggregate proceeds of $165,402.11 to RA I, $201,847.98 to RA II, $6,450,591.24 to RV I, $8,729,334.09 to RV II, $160,575.87 to RTP A, $1,004,687.06 to RTP Q, $7,681.29 to ROA and $271,600.63 to RO LP. |
(5) | The reported securities were mandatorily redeemable by HomeAway, Inc. upon the closing of its initial public offering and were accordingly redeemed by HomeAway, Inc. at a price equal to $2.00 per share plus an additional amount equal to the accumulated dividends on such shares for aggregate proceeds of $19,379.20 to RA I, $26,793.28 to RA II, $755,853.52 to RV I, $1,158,696.79 to RV II, $12,004.56 to RTP A, $75,101.79 to RTP Q, $650.95 to ROA and $23,048.20 to RO LP. |
(6) | The Shares are owned by Redpoint Associates II, LLC ("RA II"). |
(7) | The Shares are owned by Redpoint Ventures I, L.P. ("RV I"). RV I LLC serves as the sole General Partner of RV I, and has sole voting and investment control over the shares owned by RV I, and may be deemed to beneficially own the shares held by RV I. RV I LLC owns no securities of the Issuer directly. |
(8) | The Shares are owned by Redpoint Ventures II, L.P. ("RV II"). Redpoint Ventures II, LLC ("RV II LLC") serves as the sole General Partner of RV II, and has sole voting and investment control over the shares owned by RV II, and may be deemed to beneficially own the shares held by RV II. RV II LLC owns no securities of the Issuer directly. |
(9) | The Shares are owned by Redpoint Technology Partners A-1, L.P. ("RTP A"). RV I LLC serves as the sole General Partner of RTP A, and has sole voting and investment control over the shares owned by RTP A, and may be deemed to beneficially own the shares held by RTP A. RV I LLC owns no securities of the Issuer directly. |
(10) | The Shares are owned by Redpoint Technology Partners Q-1, L.P. ("RTP Q"). RV I LLC serves as the sole General Partner of RTP Q, and has sole voting and investment control over the shares owned by RTP Q, and may be deemed to beneficially own the shares held by RTP Q. RV I LLC owns no securities of the Issuer directly. |
(11) | The Shares are owned by Redpoint Omega Associates, LLC ("ROA"). |
(12) | The Shares are owned by Redpoint Omega, L.P. ("RO LP"). Redpoint Omega, LLC ("RO LLC") serves as the sole General Partner of RO LP, and has sole voting and investment control over the shares owned by RO LP, and may be deemed to beneficially own the shares held by RO LP. RO LLC owns no securities of the Issuer directly. |
(13) | The Reporting Person is a Managing Director of RV I LLC, RA II, RV II LLC, ROA and RO LLC. As such, the Reporting Person may be deemed to have indirect beneficial ownership of the shares held by RA I, RA II, RV I, RV II, RTP A, RTP Q, ROA and RO LP. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein. |