Glenn Solomon - Dec 8, 2021 Form 3 Insider Report for HashiCorp, Inc. (HCP)

Signature
/s/ Paul Warenski, by power of attorney
Stock symbol
HCP
Transactions as of
Dec 8, 2021
Transactions value $
$0
Form type
3
Date filed
12/8/2021, 04:11 PM
Previous filing
Nov 18, 2021
Next filing
Dec 15, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding HCP Common Stock 2.13M Dec 8, 2021 See footnote F1, F2
holding HCP Common Stock 1.13M Dec 8, 2021 See footnote F1, F3
holding HCP Common Stock 41.6K Dec 8, 2021 See footnote F1, F4
holding HCP Common Stock 576K Dec 8, 2021 See footnote F1, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding HCP Series A Convertible Preferred Stock Dec 8, 2021 Common Stock 2.29M See footnote F1, F3, F6
holding HCP Series A Convertible Preferred Stock Dec 8, 2021 Common Stock 83.9K See footnote F1, F4, F6
holding HCP Series B Convertible Preferred Stock Dec 8, 2021 Common Stock 15.2M See footnote F1, F3, F7
holding HCP Series B Convertible Preferred Stock Dec 8, 2021 Common Stock 559K See footnote F1, F4, F7
holding HCP Series C Convertible Preferred Stock Dec 8, 2021 Common Stock 2.07M See footnote F1, F2, F8
holding HCP Series C Convertible Preferred Stock Dec 8, 2021 Common Stock 2.34M See footnote F1, F3, F8
holding HCP Series C Convertible Preferred Stock Dec 8, 2021 Common Stock 86K See footnote F1, F4, F8
holding HCP Series D Convertible Preferred Stock Dec 8, 2021 Common Stock 2.08M See footnote F1, F2, F8, F9
holding HCP Series E Convertible Preferred Stock Dec 8, 2021 Common Stock 864K See footnote F1, F10, F11
holding HCP Series E Convertible Preferred Stock Dec 8, 2021 Common Stock 259K See footnote F1, F5, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock, each share of Common Stock shall be reclassified into one share of Class B Common Stock.
F2 The shares are held of record by GGV Capital Select L.P. (GGV Select LP). As a managing member of GGV Capital Select L.L.C. (GGV Select LLC), the General Partner of GGV Select LP, the reporting person may be deemed to have voting and dispositive power over the shares held by GGV Select LP. The reporting person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.
F3 The shares are held of record by GGV Capital V L.P. (GGV V LP). As a managing member of GGV Capital V L.L.C. (GGV V LLC), the General Partner of GGV V LP, the reporting person may be deemed to have voting and dispositive power over the shares held by GGV V LP. The reporting person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.
F4 The shares are held of record by GGV Capital V Entrepreneurs Fund L.P. (GGV Entrepreneurs). As a managing member of GGV V LLC, the General Partner of GGV Entrepreneurs, the reporting person may be deemed to have voting and dispositive power over the shares held by GGV Entrepreneurs. The reporting person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.
F5 The shares are held of record by GGV VII Plus Investments, L.L.C. (GGV Plus Investments). As a managing member of GGV Capital VII Plus L.L.C. (GGV Capital VII Plus), the Manager of GGV Plus Investments, the reporting person may be deemed to have voting and dispositive power over the shares held by GGV Plus Investments. The reporting person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.
F6 Each share of Series A Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and has no expiration date.
F7 Each share of Series B Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and has no expiration date.
F8 Each share of Series C Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and has no expiration date.
F9 Each share of Series D Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and has no expiration date.
F10 Each share of Series E Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and has no expiration date.
F11 The shares are held of record by GGV VII Investments, L.L.C. (GGV VII Investments). As a managing member of GGV Capital VII L.L.C. (GGV Capital VII), the Manager of GGV VII Investments, the reporting person may be deemed to have voting and dispositive power over the shares held by GGV VII Investments. The reporting person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.

Remarks:

Exhibit 24 - Power of Attorney