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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 | ||||||||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 147,593 | (1) | (1) | Common Stock | 147,593 | $ 0 | 0 | I | TCV VI, L.P. (2) (3) | |||
Series D Convertible Preferred Stock | (4) | 07/05/2011 | C | 3,037,124 | (4) | (4) | Common Stock | 3,037,124 | $ 0 | 0 | I | TCV VI, L.P. (2) (3) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 3,325 | (1) | (1) | Common Stock | 3,325 | $ 0 | 0 | I | TCV Member Fund, L.P. (2) (7) | |||
Series D Convertible Preferred Stock | (4) | 07/05/2011 | C | 68,461 | (4) | (4) | Common Stock | 68,461 | $ 0 | 0 | I | TCV Member Fund, L.P. (2) (7) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TCV VI L P C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
TCV Member Fund, L.P. C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
Technology Crossover Management VI, L.L.C. C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
HOAG JAY C C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(d) group | ||
KIMBALL RICK C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(d) group | ||
DREW JOHN C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(d) group | ||
GRIFFITH WILLIAM C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(d) group | ||
REYNOLDS JON Q JR C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(d) group | ||
Trudeau Robert C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(d) group |
Frederic D. Fenton Authorized signatory for TCV VI, L.P. | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for TCV Member Fund, L.P. | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for Technology Crossover Management VI, L.L.C. | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for Jay C. Hoag | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for Richard H. Kimball | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for John L. Drew | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for William J.G. Griffith IV | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for Jon Q. Reynolds, Jr. | 07/05/2011 | |
**Signature of Reporting Person | Date | |
Frederic D. Fenton Authorized signatory for Robert W. Trudeau | 07/05/2011 | |
**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) | The Series C Convertible Preferred Stock, which was previously convertible at any time and had no expiration date, converted into HomeAway, Inc. common stock on a one-for-one basis. |
(2) | This Form 4 is filed by more than one Reporting Person and is a joint filing with the Form 4 filed by TCV VII, L.P., TCV VII (A), L.P., Technology Crossover Management VII, Ltd., Technology Crossover Management VII, L.P. and Christopher P. Marshall, Timothy P. McAdam, John C. Rosenberg and David L. Yuan on July 5, 2011. |
(3) | These securities are directly held by TCV VI, L.P. Jay C. Hoag, Richard H. Kimball, John L. Drew, William J.G. Griffith IV, Jon Q. Reynolds and Robert W. Trudeau (collectively, the "TCM VI Members") are Class A Members of Technology Crossover Management VI, L.L.C. ("TCM VI") which is the sole general partner of TCV VI, L.P. The TCM VI Members and TCM VI may be deemed to beneficially own the securities held by TCV VI, L.P. but the TCM Members and TCM VI disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
(4) | The Series D Convertible Preferred Stock, which was previously convertible at any time and had no expiration date, converted into HomeAway, Inc. common stock on a one-for-one basis. |
(5) | The reported securities were mandatorily redeemable by HomeAway, Inc. upon the closing of its initial public offering and were accordingly redeemed by HomeAway, Inc. at a price equal to $1.40 per share plus an additional amount equal to the accumulated dividends on such shares for aggregate proceeds of $62,048.05 to TCV VI, L.P. and $1,398.91 to TCV Member Fund, L.P. ("TCV MF"). |
(6) | The reported securities were mandatorily redeemable by HomeAway, Inc. upon the closing of its initial public offering and were accordingly redeemed by HomeAway, Inc. at a price equal to $2.00 per share plus an additional amount equal to the accumulated dividends on such shares for aggregate proceeds of $5,263.97 to TCV VII, L.P. and $121.17 to TCV MF. |
(7) | These securities are directly held by TCV MF. TCM VI Members, together with Christopher P. Marshall, Timothy P. McAdam, John C. Rosenberg and David L. Yuan (collectively, the "TCM VII Directors") are Class A Directors of TCM VII, which is a general partner of TCV MF, and limited partners of TCV MF. The TCM VI Members are Class A Members of TCM VI, which is also a general partner of TCV MF. The TCM VII Directors, TCM VII, the TCM VI Members and TCM VI may be deemed to beneficially own certain of the securities held by TCV MF, but the TCM VII Directors, TCM VII, the TCM VI Members and TCM VI disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |