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QUALYS, INC. — Major Shareholding Notification 2014
Feb 6, 2014
31029_mrq_2014-02-06_16756769-cbf7-4a9c-9878-291f96ee18e8.zip
Major Shareholding Notification
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Qualys, Inc.
(Name of Issuer)
Common Stock, Par Value $0.001 per share
(Title of Class of Securities)
74758T 303
(CUSIP Number)
December 31, 2013
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
¨ Rule 13d-1(b)
¨ Rule 13d-1(c)
x Rule 13d-1(d)
- The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 74758T 303 Page 2 of 13
| 1. | Names of
Reporting Persons. Trident Capital Management-V, L.L.C. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member
of a Group (See Instructions) (a) ¨ (b) x | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of
Organization Delaware | |
| Number of Shares Beneficially Owned by Each Reporting Person With: | 5. | Sole Voting Power 6,288,626 |
| | 6. | Shared Voting Power nil |
| | 7. | Sole Dispositive Power 6,288,626 |
| | 8. | Shared Dispositive Power nil |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 6,288,626 | |
| 10. | Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (see Instructions) | |
| 11. | Percent of Class Represented by Amount
in Row (9) 19.42% | |
| 12. | Type of Reporting Person (see
Instructions) OO | |
CUSIP No. 74758T 303 Page 3 of 13
| 1. | Names of
Reporting Persons. Trident Capital Fund-V,
L.P. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member
of a Group (See Instructions) (a) ¨ (b) x | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of
Organization Delaware | |
| Number of Shares Beneficially Owned by Each Reporting Person With: | 5. | Sole Voting Power 5,639,301 |
| | 6. | Shared Voting Power nil |
| | 7. | Sole Dispositive Power 5,639,301 |
| | 8. | Shared Dispositive Power nil |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 5,639,301 | |
| 10. | Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (see Instructions) | |
| 11. | Percent of Class Represented by Amount
in Row (9) 17.42% | |
| 12. | Type of Reporting Person (see
Instructions) PN | |
CUSIP No. 74758T 303 Page 4 of 13
| 1. | Names of
Reporting Persons. Trident Capital Fund-V
Affiliates Fund, L.P. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member
of a Group (See Instructions) (a) ¨ (b) x | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of
Organization Delaware | |
| Number of Shares Beneficially Owned by Each Reporting Person With: | 5. | Sole Voting 32,770 |
| | 6. | Shared Voting Power nil |
| | 7. | Sole Dispositive Power 32,770 |
| | 8. | Shared Dispositive Power nil |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 32,770 | |
| 10. | Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (see Instructions) | |
| 11. | Percent of Class Represented by Amount
in Row (9) 0.10% | |
| 12. | Type of Reporting Person (see
Instructions) PN | |
CUSIP No. 74758T 303 Page 5 of 13
| 1. | Names of
Reporting Persons. Trident Capital Fund-V
Affiliates Fund (Q), L.P. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member
of a Group (See Instructions) (a) ¨ (b) x | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of
Organization Delaware | |
| Number of Shares Beneficially Owned by Each Reporting Person With: | 5. | Sole Voting Power 31,269 |
| | 6. | Shared Voting Power nil |
| | 7. | Sole Dispositive Power 31,269 |
| | 8. | Shared Dispositive Power nil |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 31,269 | |
| 10. | Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (see Instructions) | |
| 11. | Percent of Class Represented by Amount
in Row (9) 0.10% | |
| 12. | Type of Reporting Person (see
Instructions) PN | |
CUSIP No. 74758T 303 Page 6 of 13
| 1. | Names of
Reporting Persons. Trident Capital Fund-V
Principals Fund, L.P. | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member
of a Group (See Instructions) (a) ¨ (b) x | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of
Organization Delaware | |
| Number of Shares Beneficially Owned by Each Reporting Person With: | 5. | Sole Voting Power 156,856 |
| | 6. | Shared Voting Power nil |
| | 7. | Sole Dispositive Power 156,856 |
| | 8. | Shared Dispositive Power nil |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 156,856 | |
| 10. | Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (see Instructions) | |
| 11. | Percent of Class Represented by Amount
in Row (9) 0.48% | |
| 12. | Type of Reporting Person (see
Instructions) PN | |
CUSIP No. 74758T 303 Page 7 of 13
| 1. | Names of
Reporting Persons. Trident Capital Parallel
Fund-V, C.V | |
| --- | --- | --- |
| 2. | Check the Appropriate Box if a Member
of a Group (See Instructions) (a) ¨ (b) x | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of
Organization Netherlands | |
| Number of Shares Beneficially Owned by Each Reporting Person With: | 5. | Sole Voting Power 428,430 |
| | 6. | Shared Voting Power nil |
| | 7. | Sole Dispositive Power 428,430 |
| | 8. | Shared Dispositive Power nil |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 428,430 | |
| 10. | Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (see Instructions) | |
| 11. | Percent of Class Represented by Amount
in Row (9) 1.32% | |
| 12. | Type of Reporting Person (see
Instructions) PN | |
CUSIP No. 74758T 303 Page 8 of 13
ITEM 1.
(a) Name of Issuer:
Qualys, Inc.
(b) Address of Issuers Principal Executive Offices:
1600 Bridge Parkway, Redwood City, California 94065
ITEM 2.
(a) Name of Person Filing:
This statement is being filed by Trident Capital Management-V, L.L.C. (TCMV), Trident Capital Fund-V, L.P. (TCV), Trident Capital Fund-V Affiliates Fund, L.P. (TCVA), Trident Capital Fund-V Affiliates Fund (Q), L.P. (TCVAQ), Trident Capital Fund-V Principals Fund, L.P. (TCVP), and Trident Capital Parallel Fund-V, C.V. (TCVCV). TCMV serves as the sole general partner of TCV, TCVA, TCVAQ and TCVP, and as the sole investment general partner of TCVCV.
(b) Address of Principal Business Office or, if none, Residence:
The address of the principal business office of each of TCMV, TCV, TCVA, TCVAQ, TCVP and TCVCV is:
c/o Trident Capital
505 Hamilton Avenue, Suite 200
Palo Alto, California 94301
(c) Citizenship:
TCMVDelaware
TCVDelaware
TCVADelaware
TCVAQDelaware
TCVPDelaware
TCVCVNetherlands
(d) Title of Class of Securities:
Common Stock, par value $0.001 per share
(e) CUSIP Number:
74758T 303
ITEM 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
Not applicable
CUSIP No. 74758T 303 Page 9 of 13
ITEM 4. Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
As of December 31, 2013:
TCV was the record holder of 5,639,301 shares of Common Stock (the TCV Shares);
TCVA was the record holder of 32,770 shares of Common Stock (the TCVA Shares);
TCVAQ was the record holder of 31,269 shares of Common Stock (the TCVAQ Shares);
TCVP was the record holder of 156,856 shares of Common Stock (the TCVP Shares); and
TCVCV was the record holder of 428,430 shares of Common Stock (the TCVCV Shares).
By virtue of their relationship as affiliated entities, each of TCV, TCVA, TCVAQ, TCVP and TCVCV may be deemed to beneficially own the TCV Shares, TCVA Shares, TCVAQ Shares, TCVP Shares and TCVCV Shares for an aggregate of 6,288,626 shares (the Record Shares). TCMV, as sole general partner of TCV, TCVA, TCVAQ and TCVP, and as sole investment general partner of TCVCV, may also be deemed to beneficially own the Record Shares. The members of TCMV are Donald R. Dixon, Peter T. Meekin, John H. Moragne and Robert C. McCormack (the TCMV Members). The TCMV Members may also be deemed to beneficially own the Record Shares. Each reporting person and each TCMV Member disclaims beneficial ownership of such shares except to the extent of their pecuniary interest, if any, and this report shall not be deemed an admission that the reporting persons or any TCMV Member are the beneficial owner of all of the reported shares.
(b) Percent of class:
| TCMV | 19.42 |
|---|---|
| TCV | 17.42 % |
| TCVA | 0.10 % |
| TCVAQ | 0.10 % |
| TCVP | 0.48 % |
| TCVCV | 1.32 % |
The foregoing percentages are calculated based on 32,375,299 shares of Common Stock of Qualys, Inc. (Qualys) outstanding as of December 31, 2013, as reported by Qualys to the reporting persons.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
| TCMV | 6,288,626 |
|---|---|
| TCV | 5,639,301 |
| TCVA | 32,770 |
| TCVAQ | 31,269 |
| TCVP | 156,856 |
| TCVCV | 428,430 |
(ii) Shared power to vote or to direct the vote
See item 4(a) above.
CUSIP No. 74758T 303 Page 10 of 13
(iii) Sole power to dispose or to direct the disposition of
| TCMV | 6,288,626 |
|---|---|
| TCV | 5,639,301 |
| TCVA | 32,770 |
| TCVAQ | 31,269 |
| TCVP | 156,856 |
| TCVCV | 428,430 |
(iv) Shared power to dispose or to direct the disposition of
See item 4(a) above.
ITEM 5. Ownership of Five Percent or Less of a Class
Not applicable.
ITEM 6. Ownership of More than Five Percent on Behalf of Another Person
Not applicable.
ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
Not applicable.
ITEM 8. Identification and Classification of Members of the Group
Not applicable.
ITEM 9. Notice of Dissolution of Group
Not applicable.
ITEM 10. Certifications
Not applicable.
CUSIP No. 74758T 303 Page 11 of 13
SIGNATURE
After reasonable inquiry and to the best of each of their respective knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
Date: February 4, 2014
| TRIDENT CAPITAL MANAGEMENT V, L.L.C |
|---|
| Executed by the undersigned as an authorized signatory of the foregoing limited liability company: |
| /s/ Donald R. Dixon |
| Donald R. Dixon |
| TRIDENT CAPITAL FUND-V, L.P. |
| TRIDENT CAPITAL FUND-V AFFILIATES FUND, L.P. |
| TRIDENT CAPITAL FUND-V AFFILIATES FUND (Q), L.P. |
| TRIDENT CAPITAL FUND-V PRINCIPALS FUND, L.P. |
| TRIDENT CAPITAL PARALLEL FUND-V, C.V. |
| Executed by the undersigned as an authorized signatory of the general partner of each of the foregoing funds: |
| /s/ Donald R. Dixon |
| Donald R. Dixon |
CUSIP No. 74758T 303 Page 12 of 13
INDEX TO EXHIBITS
EXHIBIT INDEX
Exhibit 1. Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended.