SEC Info - Horton Robert - ‘3’ for 3/16/17 re: Mulesoft, Inc.

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^*

Horton Robert

(Last)

(First)

(Middle)

77 GEARY STREET, SUITE 400

(Street)

SAN FRANCISCO

94108

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
3/16/17

3. Issuer Name and Ticker or Trading Symbol
MULESOFT, INC [ MULE ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP People Ops, GC & Secretary

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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⁾	303,737	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Stock Option (right to buy)	⁽²⁾	8/29/23	Common Stock ⁽¹⁾	121,414	0.68	D
Stock Option (right to buy)	⁽³⁾	2/3/25	Common Stock ⁽¹⁾	32,292	2.6	D
Stock Option (right to buy)	⁽⁴⁾	6/16/26	Common Stock ⁽¹⁾	50,000	7.28	D
Stock Option (right to buy)	⁽⁵⁾	6/16/26	Common Stock ⁽¹⁾	225,000	7.28	D

Explanation of Responses:

(1) Each share of Common Stock shall be reclassified into one share of Class B Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.

(2) 91,870 shares subject to the option vested on July 15, 2014, and 1/36 of the remaining shares vest monthly thereafter. The original grant for 489,225 shares was exercised for 49,190 shares on July 13, 2015, 113,000 shares on July 22, 2015, and 205,621 shares on August 27, 2016.

(3) 1/48 of the shares subject to the option vested on March 3, 2015, and 1/48 of the shares vest monthly thereafter. The original grant for 50,000 shares was exercised for 17,708 shares on August 27, 2016.

(4) 1/48 of the shares subject to the option vested on August 1, 2016, and 1/48 of the shares vest monthly thereafter.

(5) 1/36 of the shares subject to the option will vest on September 1, 2017, and 1/36 of the shares will vest monthly thereafter.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Aref Wardak, Attorney-in-Fact	3/16/17
	** 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.
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Horton Robert – ‘3’ for 3/16/17 re: Mulesoft, Inc.

On: Thursday, 3/16/17, at 5:58pm ET · For: 3/16/17 · Accession #: 1209191-17-21164 · File #: 1-38031

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Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 — SEA’34
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