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ON24 INC. — Director's Dealing 2021
Feb 8, 2021
33490_dirs_2021-02-08_25a21ab5-476c-4815-9c55-3cbecead0e3f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ON24 INC. (ONTF)
CIK: 0001110611
Period of Report: 2021-02-05
Reporting Person: Rho Ventures III Holdings LLC (10% Owner)
Reporting Person: Rho Capital Partners LLC (10% Owner)
Reporting Person: KAIROUZ HABIB (10% Owner)
Reporting Person: LESCHLY MARK (10% Owner)
Reporting Person: RUCH JOSHUA (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-05 | Common Stock | C | 3932859 | — | Acquired | 3932859 | Indirect |
| 2021-02-05 | Common Stock | S | 294965 | $50.00 | Disposed | 3637894 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-05 | Class A-1 Convertible Preferred Stock | $ | C | 567991 | Disposed | Common Stock (567991) | Indirect | |
| 2021-02-05 | Class A-2 Convertible Preferred Stock | $ | C | 3364868 | Disposed | Common Stock (3364868) | Indirect |
Footnotes
F1: All of the shares of convertible preferred stock automatically converted into shares of the Issuer's common stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. The convertible preferred stock had no expiration date.
F2: These securities are owned directly by Rho Ventures III Holdings LLC ("RV III"). Rho Capital Partners LLC ("RCP") is the managing member of RV III, and each of Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of RCP and exercise shared voting and investment power with respect to the shares owned by RV III. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.