Redpoint Omega II, LLC - Dec 13, 2021 Form 4 Insider Report for HashiCorp, Inc. (HCP)

Role
10%+ Owner
Signature
Redpoint Omega II, LLC, by Scott Raney, Managing Director
Stock symbol
HCP
Transactions as of
Dec 13, 2021
Transactions value $
$0
Form type
4
Date filed
12/15/2021, 07:31 PM
Previous filing
Dec 8, 2021
Next filing
Jun 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HCP Common Stock Conversion of derivative security +13.4M +417.87% 16.6M Dec 13, 2021 See footnote F1, F2, F3, F4
transaction HCP Common Stock Conversion of derivative security +415K +417.88% 514K Dec 13, 2021 See footnote F1, F2, F3, F5
transaction HCP Common Stock Conversion of derivative security +660K 660K Dec 13, 2021 See footnote F6, F7
transaction HCP Common Stock Conversion of derivative security +31.1K 31.1K Dec 13, 2021 See footnote F6, F8
transaction HCP Common Stock Other -16.6M -100% 0 Dec 13, 2021 See footnote F4, F9
transaction HCP Common Stock Other -514K -100% 0 Dec 13, 2021 See footnote F5, F9
transaction HCP Common Stock Other -660K -100% 0 Dec 13, 2021 See footnote F7, F9
transaction HCP Common Stock Other -31.1K -100% 0 Dec 13, 2021 See footnote F8, F9

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 B Convertible Stock Preferred Conversion of derivative security -8.35M -100% 0 Dec 13, 2021 Common Stock 8.35M See footnote F1, F4
transaction HCP Series C Convertible Stock Preferred Conversion of derivative security -4.36M -100% 0 Dec 13, 2021 Common Stock 4.36M See footnote F2, F4
transaction HCP Series D Convertible Stock Preferred Conversion of derivative security -700K -100% 0 Dec 13, 2021 Common Stock 700K See footnote F3, F4
transaction HCP Series B Convertible Stock Preferred Conversion of derivative security -258K -100% 0 Dec 13, 2021 Common Stock 258K See footnote F1, F5
transaction HCP Series C Convertible Stock Preferred Conversion of derivative security -135K -100% 0 Dec 13, 2021 Common Stock 135K See footnote F2, F5
transaction HCP Series D Convertible Stock Preferred Conversion of derivative security -21.7K -100% 0 Dec 13, 2021 Common Stock 21.7K See footnote F3, F5
transaction HCP Series E Convertible Stock Preferred Conversion of derivative security -660K -100% 0 Dec 13, 2021 Common Stock 660K See footnote F6, F7
transaction HCP Series E Convertible Stock Preferred Conversion of derivative security -31.1K -100% 0 Dec 13, 2021 Common Stock 31.1K See footnote F6, F8
transaction HCP Class B Common Stock Other +16.6M 16.6M Dec 13, 2021 Class A Common Stock 16.6M See footnote F4, F9, F10
transaction HCP Class B Common Stock Other +514K 514K Dec 13, 2021 Class A Common Stock 514K See footnote F5, F9, F10
transaction HCP Class B Common Stock Other +660K 660K Dec 13, 2021 Class A Common Stock 660K See footnote F7, F9, F10
transaction HCP Class B Common Stock Other +31.1K 31.1K Dec 13, 2021 Class A Common Stock 31.1K See footnote F8, F9, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 The shares are held of record by Redpoint Omega II, L.P. (RO II). Redpoint Omega II, LLC (RO II LLC) is the sole general partner of RO II. As such, RO II LLC has sole voting and investment control over the shares owned by RO II and may be deemed to beneficially own the shares held by RO II. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein.
F5 The shares are held of record by Redpoint Omega Associates II, LLC (ROA II). ROA II is under common control with RO II LLC. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein.
F6 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.
F7 The shares are held of record by Redpoint Omega III, L.P. (RO III). Redpoint Omega III, LLC (RO III LLC) is the sole general partner of RO III. As such, RO III LLC has sole voting and investment control over the shares owned by RO III and may be deemed to beneficially own the shares held by RO II. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein.
F8 The shares are held of record by Redpoint Omega Associates III, LLC (ROA III). ROA III is under common control with RO III LLC. Each of the reporting persons disclaims beneficial ownership of the shares reported herein, except to the extent of its respective pecuniary interest therein.
F9 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.
F10 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.