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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Millennium Technology Value Partners LP 32 AVENUE OF THE AMERICAS 17TH FLOOR NEW YORK, NY 10013 |
X | |||
Millennium Technology Value Partners Management LP 32 AVENUE OF THE AMERICAS 17TH FLOOR NEW YORK, NY 10013 |
X | |||
Millennium Technology Value Partners RCM L P 32 AVENUE OF THE AMERICAS 17TH FLOOR NEW YORK, NY 10013 |
X | |||
Millennium TVP GP LLC 32 AVENUE OF THE AMERICAS 17TH FLOOR NEW YORK, NY 10013 |
X |
Millennium Technology Value Partners L.P., by Daniel Burstein | 10/20/2014 | |
**Signature of Reporting Person | Date | |
Millennium Technology Value Partners (RCM) L.P., by Daniel Burstein | 10/20/2014 | |
**Signature of Reporting Person | Date | |
Millennium Technology Value Partners Management LP, by Daniel Burstein | 10/20/2014 | |
**Signature of Reporting Person | Date | |
Millennium TVP GP LLC, by Daniel Burstein | 10/20/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Pursuant to a distribution by Millennium Technology Value Partners L.P. ("MTVP") to its limited partners. |
(2) | Pursuant to a distribution by Millennium Technology Value Partners RCM L.P. ("MTVP (RCM)") to its limited partners. |
(3) | Millennium Technology Value Partners, L.P. directly owns these shares (the "MTVP Shares") of Common Stock of the Issuer. |
(4) | Millennium Technology Value Partners (RCM), L.P. directly owns these shares (the "MTVP(RCM) Shares", and together with the MTVP Shares, the "iPass Shares") of Common Stock of the Issuer. |
(5) | MTVP and MTVP(RCM) (collectively, the "Funds") have the same general partner, Millennium Technology Value Partners Management, L.P. ("MTVPM") . Accordingly, each of MTVP and MTVP(RCM) may be deemed for purposes of Section 16 of the Exchange Act of 1934, as amended (the "Exchange Act"), to be beneficial owners of the iPass Shares. Each of MTVP and MTVP(RCM) disclaims beneficial ownership of the other's shares of the Issuer's Common Stock, and this report shall not be deemed and admission that either MTVP or MTVP(RCM) is a beneficial owner of the other's shares of the Issuer's common stock for purposes of Section 16 or any other purpose. |
(6) | Millennium TVP (GP), LLC ("MTVP-GP") is the general partner of MTVPM. |
(7) | Each of MTVPM and MTVP-GP may be deemed for purposes of Section 16 of the Exchange Act to be indirect beneficial owners of the iPass Shares. MTVPM and MTVP-GP disclaim beneficial ownership of the iPass Shares except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any such person is a beneficial owner of the IPass Shares for purposes of Section 16 or for any other purpose. |