Glenn Solomon - Dec 13, 2021 Form 4 Insider Report for HashiCorp, Inc. (HCP)

Signature
/s/ Paul Warenski, by power of attorney
Stock symbol
HCP
Transactions as of
Dec 13, 2021
Transactions value $
$0
Form type
4
Date filed
12/15/2021, 07:26 PM
Previous filing
Dec 8, 2021
Next filing
Mar 22, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HCP Common Stock Conversion of derivative security +19.9M +1751.82% 21M Dec 13, 2021 See footnote F1, F2, F3, F4
transaction HCP Common Stock Conversion of derivative security +4.14M +194.09% 6.28M Dec 13, 2021 See footnote F3, F5, F6
transaction HCP Common Stock Conversion of derivative security +729K +1751.94% 770K Dec 13, 2021 See footnote F1, F2, F3, F7
transaction HCP Common Stock Conversion of derivative security +864K 864K Dec 13, 2021 See footnote F8, F9
transaction HCP Common Stock Conversion of derivative security +259K +45% 836K Dec 13, 2021 See footnote F8, F10
transaction HCP Common Stock Other -21M -100% 0 Dec 13, 2021 See footnote F4, F11
transaction HCP Common Stock Other -6.28M -100% 0 Dec 13, 2021 See footnote F6, F11
transaction HCP Common Stock Other -770K -100% 0 Dec 13, 2021 See footnote F7, F11
transaction HCP Common Stock Other -864K -100% 0 Dec 13, 2021 See footnote F9, F11
transaction HCP Common Stock Other -836K -100% 0 Dec 13, 2021 See footnote F10, F11

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
transaction HCP Series A Convertible Stock Preferred Conversion of derivative security -2.29M -100% 0 Dec 13, 2021 Common Stock 2.29M See footnote F1, F4
transaction HCP Series B Convertible Stock Preferred Conversion of derivative security -15.2M -100% 0 Dec 13, 2021 Common Stock 15.2M See footnote F2, F4
transaction HCP Series C Convertible Stock Preferred Conversion of derivative security -2.34M -100% 0 Dec 13, 2021 Common Stock 2.34M See footnote F3, F4
transaction HCP Series C Convertible Stock Preferred Conversion of derivative security -2.07M -100% 0 Dec 13, 2021 Common Stock 2.07M See footnote F3, F6
transaction HCP Series D Convertible Stock Preferred Conversion of derivative security -2.08M -100% 0 Dec 13, 2021 Common Stock 2.08M See footnote F5, F6
transaction HCP Series A Convertible Stock Preferred Conversion of derivative security -83.9K -100% 0 Dec 13, 2021 Common Stock 83.9K See footnote F1, F7
transaction HCP Series B Convertible Stock Preferred Conversion of derivative security -559K -100% 0 Dec 13, 2021 Common Stock 559K See footnote F2, F7
transaction HCP Series C Convertible Stock Preferred Conversion of derivative security -86K -100% 0 Dec 13, 2021 Common Stock 86K See footnote F3, F7
transaction HCP Series E Convertible Stock Preferred Conversion of derivative security -864K -100% 0 Dec 13, 2021 Common Stock 864K See footnote F8, F9
transaction HCP Series E Convertible Stock Preferred Conversion of derivative security -259K -100% 0 Dec 13, 2021 Common Stock 259K See footnote F8, F10
transaction HCP Class B Common Stock Other +21M 21M Dec 13, 2021 Class A Common Stock 21M See footnote F4, F11, F12
transaction HCP Class B Common Stock Other +6.28M 6.28M Dec 13, 2021 Class A Common Stock 6.28M See footnote F6, F11, F12
transaction HCP Class B Common Stock Other +770K 770K Dec 13, 2021 Class A Common Stock 770K See footnote F7, F11, F12
transaction HCP Class B Common Stock Other +864K 864K Dec 13, 2021 Class A Common Stock 864K See footnote F9, F11, F12
transaction HCP Class B Common Stock Other +836K 836K Dec 13, 2021 Class A Common Stock 836K See footnote F10, F11, F12
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
F2 Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
F3 Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
F4 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.
F5 Each share of Series D Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
F6 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.
F7 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.
F8 Each share of Series E Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock and had no expiration date.
F9 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.
F10 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.
F11 Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically 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.
F12 Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the reporting person's election and has no expiration date.