View:
Download DOC
Download PDF
Download XLS
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)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(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)
01/19/2017
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)
Code V Amount (A) or (D) Price
Common Stock 01/19/2017 S(1) 20,655 D $8.3 21,661 I By Worldview Strategic Partners IV, L.P.(2)
Common Stock 01/19/2017 S(1) 454,814 D $8.3 476,965 I By Worldview Technology International IV, L.P.(3)
Common Stock 01/19/2017 S(1) 2,799,531 D $8.3 2,935,884 I By Worldview Technology Partners IV, L.P.(4)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Worldview Equity I, L.L.C.
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
1. Name and Address of Reporting Person*
WORLDVIEW TECHNOLOGY INTERNATIONAL IV, L.P.
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
1. Name and Address of Reporting Person*
WORLDVIEW STRATEGIC PARTNERS IV LP
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
1. Name and Address of Reporting Person*
WEI JAMES
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Orsak Michael
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
1. Name and Address of Reporting Person*
WORLDVIEW TECHNOLOGY PARTNERS IV LP
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Tanaka Susumu
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
1. Name and Address of Reporting Person*
Worldview Capital IV, L.P.
(Last) (First) (Middle)
99 ALMADEN BLVD
6TH FLOOR
(Street)
SAN JOSE CA 95113
(City) (State) (Zip)
Explanation of Responses:
1. Shares sold pursuant to that certain Purchase Agreement, dated as of January 12, 2017 by and among the Issuer, B. Riley & Co., LLC, Worldview Technology Partners IV, L.P., Worldview Technology International IV, L.P. and Worldview Strategic Partners IV, L.P. (the "Transaction"). The Transaction closed on January 19, 2017.
2. 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.
3. 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.
4. 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.
Remarks:
/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C. 01/19/2017
/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. 01/19/2017
/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. 01/19/2017
/s/ James N. Strawbridge, as attorney-in-fact for James Wei 01/19/2017
/s/ James N. Strawbridge, as attorney-in-fact for Michael Orsak 01/19/2017
/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. 01/19/2017
/s/ James N. Strawbridge, as attorney-in-fact for Susumu Tanaka 01/19/2017
/s/ James N. Strawbridge, as attorney-in-fact for Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P. 01/19/2017
** 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 4 (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.