SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/16/2015
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3. Issuer Name and Ticker or Trading Symbol
OOMA INC
[ OOMA ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
906 |
I |
By Worldview Strategic Partners IV, L.P.
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Common Stock |
20,000 |
I |
By Worldview Technology International IV, L.P.
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Common Stock |
123,116 |
I |
By Worldview Technology Partners IV, L.P.
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series Alpha Convertible Preferred Stock |
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Common Stock |
37,574 |
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I |
By Worldview Strategic Partners IV, L.P.
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Series Alpha-1 Convertible Preferred Stock |
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Common Stock |
2,523 |
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I |
By Worldview Strategic Partners IV, L.P.
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Series Beta Convertible Preferred Stock |
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Common Stock |
604 |
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I |
By Worldview Strategic Partners IV, L.P.
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Series Alpha Convertible Preferred Stock |
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Common Stock |
827,294 |
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I |
By Worldview Technology International IV, L.P.
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Series Alpha-1 Convertible Preferred Stock |
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Common Stock |
55,550 |
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I |
By Worldview Technology International IV, L.P.
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Series Beta Convertible Preferred Stock |
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Common Stock |
13,306 |
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I |
By Worldview Technology International IV, L.P.
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Series Alpha Convertible Preferred Stock |
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Common Stock |
5,092,260 |
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I |
By Worldview Technology Partners IV, L.P.
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Series Alpha-1 Convertible Preferred Stock |
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Common Stock |
341,927 |
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I |
By Worldview Technology Partners IV, L.P.
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Series Beta Convertible Preferred Stock |
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Common Stock |
81,904 |
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I |
By Worldview Technology Partners IV, L.P.
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1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
|
1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
|
1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
|
1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
|
1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
|
1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
|
1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
|
1. Name and Address of Reporting Person*
101 S. ELLSWORTH AVENUE |
SUITE 401 |
(Street)
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Explanation of Responses: |
Remarks: |
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/s/ James N. Strawbridge, as Attorney-in-Fact for Worldview Equity I, L.L.C. |
07/16/2015 |
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/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., the general partner of Worldview Strategic Partners IV, L.P. |
07/16/2015 |
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/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., the general partner of Worldview Technology International IV, L.P. |
07/16/2015 |
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/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., the general partner of Worldview Technology Partners IV, L.P. |
07/16/2015 |
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/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P. |
07/16/2015 |
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/s/ James N. Strawbridge, as attorney-in-fact for Michael Orsak |
07/16/2015 |
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/s/ James N. Strawbridge, as attorney-in-fact for Susumu Tanaka |
07/16/2015 |
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/s/ James N. Strawbridge, as attorney-in-fact for James Wei |
07/16/2015 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
October 1, 2014
KNOW ALL MEN BY THESE PRESENTS, that each of the undersigned hereby authorizes
and designates JAMES N. STRAWBRIDGE as his or its true and lawful
attorney-in-fact (the "Attorney-in-Fact") to act for and on behalf of the
undersigned for the following purposes:
1. To execute shareholder written consents, proxies, ballots and related
documents on behalf of the undersigned with respect to any corporation in which
such entity is a shareholder (each referred to herein as a "Corporation"), or to
represent the undersigned at a meeting of shareholders of any Corporation and to
vote the securities of any Corporation held by the undersigned at such meeting;
2. To execute contracts and agreements, including, but not limited to, bank
accounts, brokerage accounts, stock powers, stock purchase agreements, and stock
sales agreements or such other documents as may be requested in order to effect
either the purchase or sale of securities on behalf of the undersigned;
3. To prepare and file on behalf of the undersigned individually, or jointly
together, any and all reports, notices, communications and other documents
(including, but not limited to, reports on Schedule 13D, Schedule 13G, Form 13H,
Form 13-F, Form ADV, Form 3, Form 4 and Form 5) that the undersigned may be
required to file with the United States Securities and Exchange Commission
pursuant to the Securities Act of 1933, as amended (together with the
implementing regulations thereto, the "Act"), and the Securities Exchange Act of
1934, as amended (together with the implementing regulations thereto, the
"Exchange Act") (collectively, the "Reports"), with respect to the undersigned's
ownership of, or transactions in, securities of any entity whose securities are
beneficially owned (directly or indirectly) by the undersigned;
4. To execute consents and agreements, including, but not limited to, limited
partner assignment agreements, nondisclosure agreements, and limited partnership
agreement amendments, or such other documents as may be requested on behalf of
the undersigned in the ordinary course of their operations; and
5. To take such other actions on behalf of any of the undersigned as may be
necessary to effect acquired securities or corporate or regulatory filings or
other similar actions in the ordinary course of business of any of the
undersigned. Each of the undersigned acknowledges that the Attorney-in-Fact, in
serving in such capacity at the request of the undersigned, is not hereby
assuming any of the undersigned's responsibilities to comply with state or
federal securities laws.
Each of the undersigned hereby grants to the Attorney-In-Fact full power and
authority to do and perform each and every act and thing whatsoever requisite,
necessary, and proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do excluding the power of substitution or revocation, and every act and
thing that such Attorney-in-Fact, shall lawfully do or cause to be done in
exercising the rights and powers herein granted is hereby ratified and
confirmed.
This Power of Attorney shall become effective on October 1, 2014 and is for a
period of ten (10) years, unless earlier revoked by the undersigned in a signed
writing delivered to the Attorney-in-Fact.
[SIGNATURES ON THE FOLLOWING PAGE.]
IN WITNESS WHEREOF, each of the undersigned has caused this Power of Attorney to
be executed as of the first date set forth above.
WORLDVIEW EQUITY I, L.L.C.
By: /s/ James Wei
Name: James Wei
Title: Member
WORLDVIEW TECHNOLOGY PARTNERS IV, L.P.
By: Worldview Capital IV, L.P.
Its: General Partner
By: Worldview Equity I, L.L.C.
Its: General Partner
By: /s/ James Wei
Name: James Wei
Title: Member
WORLDVIEW TECHNOLOGY INTERNATIONAL IV, L.P.
By: Worldview Capital IV, L.P.
Its: General Partner
By: Worldview Equity I, L.L.C.
Its: General Partner
By: /s/ James Wei
Name: James Wei
Title: Member
WORLDVIEW CAPITAL IV, L.P.
By: Worldview Equity I, L.L.C.
Its: General Partner
By: /s/ James Wei
Name: James Wei
Title: Member
WORLDVIEW MANAGEMENT CORP.
By: /s/ James Wei
Name: James Wei
Title: Chief Executive Officer
WORLDVIEW STRATEGIC PARTNERS IV, L.P.
By: Worldview Capital IV, L.P.
Its: General Partner
By: Worldview Equity I, L.L.C.
Its: General Partner
By: /s/ James Wei
Name: James Wei
Title: Member
EXHIBIT 24.2
POWER OF ATTORNEY
The undersigned individual (the "Reporting Person") hereby authorizes and
designates Worldview Equity I, L.L.C.,
or such other person or entity as is designated in writing by James Strawbridge
(the "Designated Filer") as the beneficial owner to
prepare and file on behalf of the Reporting Person individually, or jointly
together with the any other reporting persons, any and
all reports, notices, communications and other documents (including, but not
limited to, reports on Schedule 13D,
Schedule 13G, Form 3, Form 4 and Form 5) that the Reporting Person may be
required to file with the United States Securities and Exchange
Commission pursuant to the Securities Act of 1933, as amended (together with the
implementing regulations thereto, the "Act") and
the Securities Exchange Act of 1934, as amended (together with the implementing
regulations thereto, the "Exchange Act")
(collectively, the "Reports") with respect to the Reporting Person's ownership
of, or transactions in, securities of
any entity whose securities are beneficially owned (directly or indirectly) by
the Reporting Person (collectively, the "Companies").
The Reporting Person hereby further authorizes and designates each of James
Strawbridge, Daniel Dumais and James Wei
(each an "Authorized Signatory") as his true and lawful attorney-in-fact to
execute and file on behalf of the Reporting Person
the Reports and to perform any and all other acts, which in the opinion of the
Designated Filer or Authorized Signatory may be
necessary or incidental to the performance of the foregoing powers herein
granted.
The authority of the Designated Filer and each Authorized Signatory under this
Power of Attorney with respect to
the Reporting Person shall continue until the Reporting Person is no longer
required to file any Reports with
respect to the Reporting Person's ownership of, or transactions in, the
securities of the Companies, unless earlier revoked in writing.
The Reporting Person acknowledges that the Designated Filer and each Authorized
Signatory are not assuming any of the
Reporting Person's responsibilities to comply with the Act, the Exchange Act or
any other applicable law.
May 21, 2008
_/s/Michael Orsak_________
Michael Orsak
EXHIBIT 24.3
POWER OF ATTORNEY
The undersigned individual (the "Reporting Person") hereby authorizes and
designates Worldview Equity I, L.L.C.,
or such other person or entity as is designated in writing by James Strawbridge
(the "Designated Filer")
as the beneficial owner to prepare and file on behalf of the Reporting Person
individually, or jointly together
with the any other reporting persons, any and all reports, notices,
communications and other documents
(including, but not limited to, reports on Schedule 13D, Schedule 13G, Form 3,
Form 4 and Form 5) that
the Reporting Person may be required to file with the United States Securities
and Exchange Commission
pursuant to the Securities Act of 1933, as amended (together with the
implementing regulations thereto, the "Act")
and the Securities Exchange Act of 1934, as amended (together with the
implementing regulations thereto, the "Exchange Act")
(collectively, the "Reports") with respect to the Reporting Person's ownership
of, or transactions in, securities of any
entity whose securities are beneficially owned (directly or indirectly) by the
Reporting Person (collectively, the "Companies").
The Reporting Person hereby further authorizes and designates each of James
Strawbridge, Daniel Dumais, James Wei and Michael Orsak
(each an "Authorized Signatory") as his true and lawful attorney-in-fact to
execute and file on behalf of the Reporting Person
the Reports and to perform any and all other acts, which in the opinion of the
Designated Filer or Authorized Signatory may be
necessary or incidental to the performance of the foregoing powers herein
granted.
The authority of the Designated Filer and each Authorized Signatory under this
Power of Attorney with
respect to the Reporting Person shall continue until the Reporting Person is no
longer required to file any Reports
with respect to the Reporting Person's ownership of, or transactions in, the
securities of the Companies, unless earlier revoked in writing.
The Reporting Person acknowledges that the Designated Filer and each Authorized
Signatory are not assuming any
of the Reporting Person's responsibilities to comply with the Act, the Exchange
Act or any other applicable law.
May 21, 2008
_/s/Susumu Tanaka_________
Susumu Tanaka
EXHIBIT 24.4
POWER OF ATTORNEY
The undersigned individual (the "Reporting Person") hereby authorizes and
designates Worldview Equity I, L.L.C.,
or such other person or entity as is designated in writing by James Strawbridge
(the "Designated Filer")
as the beneficial owner to prepare and file on behalf of the Reporting Person
individually, or jointly together with the
any other reporting persons, any and all reports, notices, communications and
other documents (including, but not limited to,
reports on Schedule 13D, Schedule 13G, Form 3, Form 4 and Form 5) that the
Reporting Person may be required to file with the United States
Securities and Exchange Commission pursuant to the Securities Act of 1933, as
amended (together with the implementing regulations thereto, the "Act")
and the Securities Exchange Act of 1934, as amended (together with the
implementing regulations thereto, the "Exchange Act")
(collectively, the "Reports") with respect to the Reporting Person's ownership
of, or transactions in, securities of any entity whose
securities are beneficially owned (directly or indirectly) by the Reporting
Person (collectively, the "Companies").
The Reporting Person hereby further authorizes and designates each of James
Strawbridge, Daniel Dumais and Michael Orsak
(each an "Authorized Signatory") as his true and lawful attorney-in-fact to
execute and file on behalf of the Reporting Person the Reports
and to perform any and all other acts, which in the opinion of the Designated
Filer or Authorized Signatory may be necessary or incidental
to the performance of the foregoing powers herein granted.
The authority of the Designated Filer and each Authorized Signatory under this
Power of Attorney with respect to the Reporting Person
shall continue until the Reporting Person is no longer required to file any
Reports with respect to the Reporting Person's ownership of,
or transactions in, the securities of the Companies, unless earlier revoked in
writing. The Reporting Person acknowledges that
the Designated Filer and each Authorized Signatory are not assuming any of the
Reporting Person's responsibilities to comply with the Act,
the Exchange Act or any other applicable law.
May 21, 2008
_/s/James Wei_________
James Wei