UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 10)*

 

Corcept Therapeutics Incorporated

(Name of Issuer)

Common Stock

(Title of Class of Securities)

218352102

(CUSIP Number)

December 31, 2014

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

x

Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
Sutter Hill Ventures, a California Limited Partnership

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
California, USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
5,962,153*

 

6.

Shared Voting Power
-0-

 

7.

Sole Dispositive Power
5,962,153*

 

8.

Shared Dispositive Power
-0-

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,962,153

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.8%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

* See Appendix A, Note 1.

 

2


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
David L. Anderson

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,080,657*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
1,080,657*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
7,042,810

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
6.9%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*                     See Appendix A, Note 3.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

3


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
G. Leonard Baker, Jr.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
4,048,887*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
4,048,887*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
10,011,040

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.7%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*                     See Appendix A, Note 4.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

4


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
William H. Younger, Jr.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,017,376*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
1,017,376*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
6,979,529

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
6.8%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*                                         See Appendix A, Note 5.

**                                  Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

5


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
Tench Coxe

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,647,317*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
1,647,317*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
7,609,470

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
7.4%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*                     See Appendix A, Note 6.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

6


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
James C. Gaither

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
138,146*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
138,146*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
6,100,299

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
6.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*       See Appendix A, Note 7.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

7


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
James N. White

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
298,933*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
298,933*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
6,261,086

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
6.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*       See Appendix A, Note 8.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

8


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
Jeffrey W. Bird

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
271,403*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
271,403*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
6,233,556

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
6.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*       See Appendix A, Note 9.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

9


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
David E. Sweet

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
73,918*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
73,918*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
6,036,071

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.9%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*       See Appendix A, Note 10.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

10


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
Andrew T. Sheehan

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
45,156*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
45,156*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
6,007,309

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.9%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*       See Appendix A, Note 11.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

11


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
Michael L. Speiser

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
15,025*

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
15,025*

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,977,178

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.9%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

*       See Appendix A, Note 12.

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

12


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
Stefan A. Dyckerhoff

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
German citizen (U.S. permanent resident)

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,962,153

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.8%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

13


 

CUSIP No. 218352102

 

 

1.

Names of Reporting Persons.
Samuel J. Pullara III

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
5,962,153**

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
5,962,153**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,962,153

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.8%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

**              Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

14


 

Item 1.

 

(a)

Name of Issuer
Corcept Therapeutics Incorporated

 

(b)

Address of Issuer’s Principal Executive Offices
149 Commonwealth Drive, Menlo Park, CA 94025

 

Item 2.

 

(a)

Name of Person Filing
See Appendix A; Appendix A is hereby incorporated by reference

 

(b)

Address of Principal Business Office or, if none, Residence
See Appendix A

 

(c)

Citizenship
See Appendix A

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
218352102

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

 

N/A

 

 

15


 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:

See Appendix A, which is hereby incorporated by reference and related pages 2 to 14

 

(b)

Percent of class:

See Appendix A, which is hereby incorporated by reference and related pages 2 to 14

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote

***

 

 

(ii)

Shared power to vote or to direct the vote

***

 

 

(iii)

Sole power to dispose or to direct the disposition of

***

 

 

(iv)

Shared power to dispose or to direct the disposition of

***

 

*** See Appendix A, which is hereby incorporated by reference and related pages 2 to 14. Messrs. Anderson, Baker, Younger, Coxe, Gaither, White, Bird, Sweet, Sheehan, Speiser, Dyckerhoff and Pullara are Managing Directors of the General Partner of Sutter Hill Ventures, a California Limited Partnership, and as such, they share voting and dispositive power over the shares held by the partnership.

 

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following   o.

N/A

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

N/A

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

N/A

 

Item 8.

Identification and Classification of Members of the Group

See Appendix A

 

Item 9.

Notice of Dissolution of Group

N/A

 

16


 

Item 10.

Certification

N/A

 

Signature

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

2/11/2015

 

Date

 

 

 

Sutter Hill Ventures, A California Limited Partnership

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for G. Leonard Baker, Jr., Managing Director of the General Partner

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for David L. Anderson

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for G. Leonard Baker, Jr.

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for William H. Younger, Jr.

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Tench Coxe

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for James C. Gaither

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for James N. White

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Jeffrey W. Bird

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for David E. Sweet

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Andrew T. Sheehan

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Michael L. Speiser

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Stefan A. Dyckerhoff

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Samuel J. Pullara III

 

17


 

APPENDIX A TO SCHEDULE 13G — CORCEPT THERAPEUTICS INCORPORATED

 

 

 

Aggregate Number of

 

 

 

 

 

Shares Beneficially Owned

 

% of

 

Name of Originator

 

Individual

 

 

 

Aggregate

 

 

 

Total Shares

 

 

 

 

 

 

 

 

 

 

 

 

 

Sutter Hill Ventures, a California Limited Partnership

 

5,962,153

 

Note 1

 

 

 

 

 

5.8

%

 

 

 

 

 

 

 

 

 

 

 

 

David L. Anderson

 

1,080,657

 

Note 3

 

 

 

 

 

1.1

%

 

 

 

 

 

 

7,042,810

 

Note 2

 

6.9

%

 

 

 

 

 

 

 

 

 

 

 

 

G. Leonard Baker, Jr.

 

4,048,887

 

Note 4

 

 

 

 

 

4.0

%

 

 

 

 

 

 

10,011,040

 

Note 2

 

9.7

%

 

 

 

 

 

 

 

 

 

 

 

 

William H. Younger, Jr.

 

1,017,376

 

Note 5

 

 

 

 

 

1.0

%

 

 

 

 

 

 

6,979,529

 

Note 2

 

6.8

%

 

 

 

 

 

 

 

 

 

 

 

 

Tench Coxe

 

1,647,317

 

Note 6

 

 

 

 

 

1.6

%

 

 

 

 

 

 

7,609,470

 

Note 2

 

7.4

%

 

 

 

 

 

 

 

 

 

 

 

 

James C. Gaither

 

138,146

 

Note 7

 

 

 

 

 

0.1

%

 

 

 

 

 

 

6,100,299

 

Note 2

 

6.0

%

 

 

 

 

 

 

 

 

 

 

 

 

James N. White

 

298,933

 

Note 8

 

 

 

 

 

0.3

%

 

 

 

 

 

 

6,261,086

 

Note 2

 

6.1

%

 

 

 

 

 

 

 

 

 

 

 

 

Jeffrey W. Bird

 

271,403

 

Note 9

 

 

 

 

 

0.3

%

 

 

 

 

 

 

6,233,556

 

Note 2

 

6.1

%

 

 

 

 

 

 

 

 

 

 

 

 

David E. Sweet

 

73,918

 

Note 10

 

 

 

 

 

0.1

%

 

 

 

 

 

 

6,036,071

 

Note 2

 

5.9

%

 

 

 

 

 

 

 

 

 

 

 

 

Andrew T. Sheehan

 

45,156

 

Note 11

 

 

 

 

 

0.0

%

 

 

 

 

 

 

6,007,309

 

Note 2

 

5.9

%

 

 

 

 

 

 

 

 

 

 

 

 

Michael L. Speiser

 

15,025

 

Note 12

 

 

 

 

 

0.0

%

 

 

 

 

 

 

5,977,178

 

Note 2

 

5.9

%

 

 

 

 

 

 

 

 

 

 

 

 

Stefan A. Dyckerhoff

 

0

 

 

 

 

 

 

 

0.0

%

 

 

 

 

 

 

5,962,153

 

Note 2

 

5.8

%

 

 

 

 

 

 

 

 

 

 

 

 

Samuel J. Pullara III

 

0

 

 

 

 

 

 

 

0.0

%

 

 

 

 

 

 

5,962,153

 

Note 2

 

5.8

%

 

The address for all of the above is:  755 Page Mill Road, Suite A-200, Palo Alto, CA 94304.

 

The partnerships are organized in California. The individuals are all U.S. citizens and residents with the exception of Mr. Dyckerhoff who is a citizen of Germany and U.S. permanent resident.

 

None of the above has been convicted in any criminal proceedings nor have they been subject to judgments, decrees, or final orders enjoining future violations of Federal or State securities laws.

 

All of the parties are individuals or entities in the venture capital business.

 

18


 

Note 1:  Includes 645,186 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14.

 

Note 2:  Includes individual shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) plus all shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held by Sutter Hill Ventures, a California Limited Partnership of which the reporting person is a Managing Director of the General Partner.

 

Note 3:  Comprised of 234,537 shares (including 7,452 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The Anderson Living Trust of which the reporting person is the trustee, 501,168 shares (including 106,819 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held by a retirement trust for the benefit of the reporting person, 11,136 shares held by Acrux Partners, LP of which the reporting person is the trustee of a trust which is the General Partner and 333,816 shares (including 6,213 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by Anvest, L.P. of which the reporting person is the trustee of a trust which is the General Partner.

 

Note 4:  Comprised of 207 shares held in the individual’s name, 1,063,415 shares (including 232,437 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The Baker Revocable Trust of which the reporting person is a trustee, 676,631 shares (including 98,449 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by a Roth IRA for the benefit of the reporting person, 2,076,134 shares (including 115,015 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held by Saunders Holdings, L.P. of which the reporting person is a trustee of a trust which is the General Partner and 232,500 shares of director’s options that are fully vested and exercisable within 60 days after 12/31/14.

 

Note 5:  Comprised of 220,256 shares (including 3,795 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The William H. Younger, Jr. Revocable Trust of which the reporting person is the trustee, 660,550 shares (including 113,338 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held by a retirement trust for the benefit of the reporting person and 136,570 shares (including 13,186 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by Yovest, L.P. of which the reporting person is the trustee of a trust which is the General Partner.

 

Note 6:  Comprised of 397,506 shares (including 89,461 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The Coxe Revocable Trust of which the reporting person is a trustee, 589,488 shares (including 87,706 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held by a retirement trust for the benefit of the reporting person, 572,519 shares held by Rooster Partners, LP of which the reporting person is the trustee of a trust which is the General Partner and 87,804 shares held in The Tamerlane Charitable Remainder Unitrust of which the reporting person is the trustee.

 

Note 7: Comprised of 37,002 shares individually owned, 29,423 shares (including 2,371 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The Gaither Revocable Trust of which the reporting person is the trustee and 71,721 shares (including 10,867 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held by Tallack Partners, L.P. of which the reporting person is the trustee of a trust which is the General Partner.

 

Note 8: Comprised of 277,808 shares (including 30,113 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The White Revocable Trust of which the reporting person is a trustee and 21,125 shares (including 2,039 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held in retirement accounts for the benefit of the reporting person.

 

19


 

Note 9: Comprised of 271,403 shares (including 29,193 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in the Jeffrey W. and Christina R. Bird Trust of which the reporting person is a trustee.

 

Note 10: Comprised of 9,627 shares individually owned, 34,057 shares (including 1,961 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The David and Robin Sweet Living Trust of which the reporting person is a trustee and 30,234 shares (including 5,968 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held by a retirement trust for the benefit of the reporting person.

 

Note 11: Comprised of 45,156 shares (including 5,077 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in the Sheehan 2003 Trust of which the reporting person is a trustee.

 

Note 12: Comprised of 15,025 shares (including 1,626 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in the Speiser Trust of which the reporting person is a trustee.

 

20

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