3: Initial statement of beneficial ownership of securities
Published on April 20, 2021
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series B-1 Preferred Stock | (3) | (3) | Class A Common Stock | 57,180 | $ (3) | I | See Footnote (1) |
Series B-2 Preferred Stock | (3) | (3) | Class A Common Stock | 16,950 | $ (3) | I | See Footnote (1) |
Series C-1 Preferred Stock | (3) | (3) | Class A Common Stock | 17,430 | $ (3) | I | See Footnote (1) |
Series C-2 Preferred Stock | (3) | (3) | Class A Common Stock | 13,920 | $ (3) | I | See Footnote (1) |
Series D-1 Preferred Stock | (3) | (3) | Class A Common Stock | 13,053 | $ (3) | I | See Footnote (1) |
Series D-2 Preferred Stock | (3) | (3) | Class A Common Stock | 2,193 | $ (3) | I | See Footnote (1) |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MENDOZA THOMAS F C/O UIPATH, INC., 90 PARK AVE, 20TH FL NEW YORK, NY 10016 |
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Signatures
/s/ Brad Brubaker, Attorney-in-Fact | 04/20/2021 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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). |
(1) | Shares are held directly by the Amended and Restated Thomas F. Mendoza Revocable Trust, of which Reporting Person is the trustee and a beneficiary. |
(2) | Shares are held directly by the Thomas F. Mendoza 2021 GRAT, of which the Reporting Person is the trustee and a beneficiary. |
(3) | Each share of Series B-1 Preferred Stock, Series B-2 Preferred Stock, Series C-1 Preferred Stock, Series C-2 Preferred Stock, Series D-1 Preferred Stock, and D-2 Preferred Stock will automatically convert into one share of Class A Common Stock immediately prior to the closing of the Issuer's initial public offering (IPO), and has no expiration date. |
Remarks: Exhibit 24 - Power of Attorney |