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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) | 03/27/2013 | C | 134,049 | (1) | (4) | Common Stock | 134,049 | $ 0 | 0 | I | Held by the Hutchison Family Trust (2) | |||
Series D Preferred Stock | (1) | 03/27/2013 | C | 13,550 | (1) | (4) | Common Stock | 13,550 | $ 0 | 0 | I | Held by the Hutchison Family Trust (2) | |||
Series E Preferred Stock | (1) | 03/27/2013 | C | 6,307 | (1) | (4) | Common Stock | 6,307 | $ 0 | 0 | I | Held by the Hutchison Family Trust (2) | |||
Series F Preferred Stock | (1) | 03/27/2013 | C | 5,000 | (1) | (4) | Common Stock | 5,000 | $ 0 | 0 | I | Held by the Hutchison Family Trust (2) | |||
Series A Preferred Stock | (1) | 03/27/2013 | C | 44,683 | (1) | (4) | Common Stock | 44,683 | $ 0 | 0 | I | Held by Glasgow Investments, LLC (3) | |||
Series D Preferred Stock | (1) | 03/27/2013 | C | 4,517 | (1) | (4) | Common Stock | 4,517 | $ 0 | 0 | I | Held by Glasgow Investments, LLC (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hutchison Donald P. C/O MARIN SOFTWARE INCORPORATED 123 MISSION STREET, 25TH FLOOR SAN FRANCISCO, CA 94105 |
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/s/ Donald P. Hutchison by Stephen Chen, Attorney-in-Fact | 03/27/2013 | |
**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) | In connection with the closing of the Issuer's initial public offering of Common Stock on March 27, 2013, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration. All shares of Common Stock issued upon conversion were aggregated. |
(2) | The Reporting Person is the Co-Trustee. |
(3) | The Reporting Person is a managing member of Glasgow Investments, LLC and possesses the power to direct the voting and disposition of the shares held by Glasgow Investments, LLC and as such may be deemed to beneficially own the shares held by Glasgow Investments, LLC. |
(4) | None. |