SEC Filing | Ooma, Inc.

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Worldview Equity I, L.L.C.

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
OOMA INC [ OOMA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
07/22/2015

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	07/22/2015		C		37,574	A	$0.00	38,480	I	By Worldview Strategic Partners IV, L.P.⁽¹⁾
Common Stock	07/22/2015		C		2,523	A	$0.00	41,003	I	By Worldview Strategic Partners IV, L.P.⁽¹⁾
Common Stock	07/22/2015		C		1,313	A	$0.00	42,316	I	By Worldview Strategic Partners IV, L.P.⁽¹⁾
Common Stock	07/22/2015		C		827,294	A	$0.00	847,294	I	By Worldview Technology International IV, L.P.⁽²⁾
Common Stock	07/22/2015		C		55,550	A	$0.00	902,844	I	By Worldview Technology International IV, L.P.⁽²⁾
Common Stock	07/22/2015		C		28,935	A	$0.00	931,779	I	By Worldview Technology International IV, L.P.⁽²⁾
Common Stock	07/22/2015		C		5,092,260	A	$0.00	5,215,376	I	By Worldview Technology Partners IV, L.P.⁽³⁾
Common Stock	07/22/2015		C		341,927	A	$0.00	5,557,303	I	By Worldview Technology Partners IV, L.P.⁽³⁾
Common Stock	07/22/2015		C		178,112	A	$0.00	5,735,415	I	By Worldview Technology Partners IV, L.P.⁽³⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series Alpha Convertible Preferred Stock	⁽⁴⁾	07/22/2015		C			37,574	⁽⁴⁾	⁽⁴⁾	Common Stock	37,574	$0.00	0	I	By Worldview Strategic Partners IV, L.P.⁽¹⁾
Series Alpha-1 Convertible Preferred Stock	⁽⁵⁾	07/22/2015		C			2,523	⁽⁵⁾	⁽⁵⁾	Common Stock	2,523	$0.00	0	I	By Worldview Strategic Partners IV, L.P.⁽¹⁾
Series Beta Convertible Preferred Stock	⁽⁶⁾	07/22/2015		C			604	⁽⁶⁾	⁽⁶⁾	Common Stock	1,313	$0.00	0	I	By Worldview Strategic Partners IV, L.P.⁽¹⁾
Series Alpha Convertible Preferred Stock	⁽⁴⁾	07/22/2015		C			827,294	⁽⁴⁾	⁽⁴⁾	Common Stock	827,294	$0.00	0	I	By Worldview Technology International IV, L.P.⁽²⁾
Series Alpha-1 Convertible Preferred Stock	⁽⁵⁾	07/22/2015		C			55,550	⁽⁵⁾	⁽⁵⁾	Common Stock	55,550	$0.00	0	I	By Worldview Technology International IV, L.P.⁽²⁾
Series Beta Convertible Preferred Stock	⁽⁶⁾	07/22/2015		C			13,306	⁽⁶⁾	⁽⁶⁾	Common Stock	28,935	$0.00	0	I	By Worldview Technology International IV, L.P.⁽²⁾
Series Alpha Convertible Preferred Stock	⁽⁴⁾	07/22/2015		C			5,092,260	⁽⁴⁾	⁽⁴⁾	Common Stock	5,092,260	$0.00	0	I	By Worldview Technology Partners IV, L.P.⁽³⁾
Series Alpha-1 Convertible Preferred Stock	⁽⁵⁾	07/22/2015		C			341,927	⁽⁵⁾	⁽⁵⁾	Common Stock	341,927	$0.00	0	I	By Worldview Technology Partners IV, L.P.⁽³⁾
Series Beta Convertible Preferred Stock	⁽⁶⁾	07/22/2015		C			81,904	⁽⁶⁾	⁽⁶⁾	Common Stock	178,112	$0.00	0	I	By Worldview Technology Partners IV, L.P.⁽³⁾

1. Name and Address of Reporting Person^*

Worldview Equity I, L.L.C.

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

WORLDVIEW STRATEGIC PARTNERS IV LP

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

WORLDVIEW TECHNOLOGY INTERNATIONAL IV, L.P.

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

WORLDVIEW TECHNOLOGY PARTNERS IV LP

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Worldview Capital IV, L.P.

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Orsak Michael

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Tanaka Susumu

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

WEI JAMES

(Last)

(First)

(Middle)

101 S. ELLSWORTH AVENUE

SUITE 401

(Street)

SAN MATEO

94401

(City)

(State)

(Zip)

Explanation of Responses:

1. Shares held directly by Worldview Strategic Partners IV, L.P. ("Strategic IV"). Worldview Capital IV, L.P., the general partner of Strategic IV, and Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., may each be deemed to have sole voting and dispositive power over the shares held by Strategic IV. James Wei, Michael Orsak and Susumu Tanaka are the managing members of Worldview Equity I, L.L.C. and may be deemed to share voting and dispositive power over the shares held by Strategic IV. Such persons and entities disclaim beneficial ownership of shares held by Strategic IV, except to the extent of any pecuniary interest therein.

2. Shares held directly by Worldview Technology International IV, L.P. ("International IV"). Worldview Capital IV, L.P., the general partner of International IV, and Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., may each be deemed to have sole voting and dispositive power over the shares held by International IV. James Wei, Michael Orsak and Susumu Tanaka are the managing members of Worldview Equity I, L.L.C. and may be deemed to share voting and dispositive power over the shares held by International IV. Such persons and entities disclaim beneficial ownership of shares held by International IV, except to the extent of any pecuniary interest therein.

3. Shares held directly by Worldview Technology Partners IV, L.P. ("Technology IV"). Worldview Capital IV, L.P., the general partner of Technology IV, and Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., may each be deemed to have sole voting and dispositive power over the shares held by Technology IV. James Wei, Michael Orsak and Susumu Tanaka are the managing members of Worldview Equity I, L.L.C. and may be deemed to share voting and dispositive power over the shares held by Technology IV. Such persons and entities disclaim beneficial ownership of shares held by Technology IV, except to the extent of any pecuniary interest therein.

4. The Series Alpha Convertible Preferred Stock converted into the issuer's common stock on a one-for-one basis upon the closing of the issuer's initial public offering. The Series Alpha Convertible Stock had no expiration date.

5. The Series Alpha-1 Convertible Preferred Stock converted into the issuer's common stock on a one-for-one basis upon the closing of the issuer's initial public offering. The Series Alpha-1 Convertible Preferred Stock had no expiration date.

6. Each share of Series Beta convertible preferred stock converted into that number of the issuer's common stock equal to the ratio of $21.2028 divided by $9.75 upon the closing of the issuer's initial public offering. The Series Beta Convertible Stock had no expiration date.

Remarks:

	/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C.	07/22/2015
	/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.	07/22/2015
	/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.	07/22/2015
	/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.	07/22/2015
	/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P.	07/22/2015
	/s/ James N. Strawbridge, as attorney-in-fact for Michael Orsak	07/22/2015
	/s/ James N. Strawbridge, as attorney-in-fact for Susumu Tanaka	07/22/2015
	/s/ James N. Strawbridge, as attorney-in-fact for James Wei	07/22/2015
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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