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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MAYFIELD XI QUALIFIED LP 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
Mayfield XI Management 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
MAYFIELD XI LP / DE 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
MAYFIELD ASSOCIATES FUND VI 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
Mayfield Principals Fund II 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
DALAL YOGEN K 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
LADD DAVID J 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
MORGAN ALLEN L 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
ROBERTS JANICE M 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses | |||
VASAN ROBERT T 2800 SAND HILL ROAD SUITE 250 MENLO PARK, CA 94025 |
See Explanation of Responses |
James T. Beck, Attorney-In-Fact for each of the Reporting Persons | 02/12/2010 | |
**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 price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.35 to $9.55, inclusive. |
(2) | The Reporting Persons undertake to provide to 3PAR Inc., any security holder of 3PAR Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. |
(3) | The Reporting Persons for this Form 4 include Yogen K. Dalal; A. Grant Heidrich, III; David J. Ladd; Allen L. Morgan; F. Gibson Myers, Jr.; Janice M. Roberts; William D. Unger; Wendell G. Van Auken, III; Robert T. Vasan and the entities named in footnotes (4) and (5) below. Electronic filing limits the number of filers on any one Form 4 to 10. This Form 4 is filed as Part 1 of 2. |
(4) | Mr. Dalal, Mr. Ladd, Mr. Morgan, Ms. Roberts and Mr. Vasan are Managing Directors of Mayfield XI Management, LLC, which is the sole General Partner of each of Mayfield XI Qulaified (MF XI Q), Mayfield XI (MF XI) and Mayfield Associates Fund VI (MF AVI), and is the sole Managing Director of Mayfield Principals Fund II (MPF II). Such individual Reporting Persons may be deemed to have shared voting and dispositive power over the shares which are or may be deemed to be beneficially owned by MF XI Q, MF XI, MF AVI and MPF II, but disclaim such beneficial ownership, except to the extent of their pecuniary interest therein. |
(5) | Mr. Dalal, Mr. Heidrich, Mr. Myers, Mr. Unger and Mr. Van Auken are Managing Directors of Mayfield IX Management, LLC, which is the sole General Partner of Mayfield IX (MF IX) and Mayfield Associates Fund IV (MF AIV). Such individual Reporting Persons may be deemed to have shared voting and dispositive power over the shares which are or may be deemed to be beneficially owned by MF IX and MF AIV, but disclaim such beneficial ownership, except to the extent of their pecuniary interest therein. |
(6) | The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of equity securities covered by this statement. |