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

Role
10%+ Owner
Signature
Redpoint Omega II, LLC, by Scott Raney, Managing Director
Issuer symbol
N/A
Transactions as of
13 Dec 2021
Net transactions value
$0
Form type
4
Filing time
15 Dec 2021, 19:31:23 UTC
Previous filing
08 Dec 2021
Next filing
09 Jun 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HCP Common Stock Conversion of derivative security +13,413,642 +418% 16,623,670 13 Dec 2021 See footnote F1, F2, F3, F4
transaction HCP Common Stock Conversion of derivative security +414,850 +418% 514,126 13 Dec 2021 See footnote F1, F2, F3, F5
transaction HCP Common Stock Conversion of derivative security +660,438 660,438 13 Dec 2021 See footnote F6, F7
transaction HCP Common Stock Conversion of derivative security +31,120 31,120 13 Dec 2021 See footnote F6, F8
transaction HCP Common Stock Other -16,623,670 -100% 0 13 Dec 2021 See footnote F4, F9
transaction HCP Common Stock Other -514,126 -100% 0 13 Dec 2021 See footnote F5, F9
transaction HCP Common Stock Other -660,438 -100% 0 13 Dec 2021 See footnote F7, F9
transaction HCP Common Stock Other -31,120 -100% 0 13 Dec 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 -8,350,470 -100% 0 13 Dec 2021 Common Stock 8,350,470 See footnote F1, F4
transaction HCP Series C Convertible Stock Preferred Conversion of derivative security -4,363,022 -100% 0 13 Dec 2021 Common Stock 4,363,022 See footnote F2, F4
transaction HCP Series D Convertible Stock Preferred Conversion of derivative security -700,150 -100% 0 13 Dec 2021 Common Stock 700,150 See footnote F3, F4
transaction HCP Series B Convertible Stock Preferred Conversion of derivative security -258,260 -100% 0 13 Dec 2021 Common Stock 258,260 See footnote F1, F5
transaction HCP Series C Convertible Stock Preferred Conversion of derivative security -134,936 -100% 0 13 Dec 2021 Common Stock 134,936 See footnote F2, F5
transaction HCP Series D Convertible Stock Preferred Conversion of derivative security -21,654 -100% 0 13 Dec 2021 Common Stock 21,654 See footnote F3, F5
transaction HCP Series E Convertible Stock Preferred Conversion of derivative security -660,438 -100% 0 13 Dec 2021 Common Stock 660,438 See footnote F6, F7
transaction HCP Series E Convertible Stock Preferred Conversion of derivative security -31,120 -100% 0 13 Dec 2021 Common Stock 31,120 See footnote F6, F8
transaction HCP Class B Common Stock Other +16,623,670 16,623,670 13 Dec 2021 Class A Common Stock 16,623,670 See footnote F4, F9, F10
transaction HCP Class B Common Stock Other +514,126 514,126 13 Dec 2021 Class A Common Stock 514,126 See footnote F5, F9, F10
transaction HCP Class B Common Stock Other +660,438 660,438 13 Dec 2021 Class A Common Stock 660,438 See footnote F7, F9, F10
transaction HCP Class B Common Stock Other +31,120 31,120 13 Dec 2021 Class A Common Stock 31,120 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.