SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Ansanelli Joseph

(Last) (First) (Middle)
305 MAIN STREET

(Street)
REDWOOD CITY CA 94063

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Sumo Logic, Inc. [ SUMO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
09/21/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 09/21/2020 C 16,919,622 A (1) 16,919,622 I See footnote(2)
Common Stock 09/21/2020 C 1,523,268 A (1) 1,523,268 I See footnote(3)
Common Stock 09/21/2020 C 541,042 A (1) 541,042 I See footnote(4)
Common Stock 25,000(5) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (1) 09/21/2020 C 7,771,788 (1) (1) Common Stock 7,771,788 (1) 0 I See footnote(2)
Series A Preferred Stock (1) 09/21/2020 C 699,692 (1) (1) Common Stock 699,692 (1) 0 I See footnote(3)
Series A Preferred Stock (1) 09/21/2020 C 248,520 (1) (1) Common Stock 248,520 (1) 0 I See footnote(4)
Series B Preferred Stock (1) 09/21/2020 C 2,828,264 (1) (1) Common Stock 2,828,264 (1) 0 I See footnote(2)
Series B Preferred Stock (1) 09/21/2020 C 254,628 (1) (1) Common Stock 254,628 (1) 0 I See footnote(3)
Series B Preferred Stock (1) 09/21/2020 C 90,440 (1) (1) Common Stock 90,440 (1) 0 I See footnote(4)
Series C Preferred Stock (1) 09/21/2020 C 2,542,885 (1) (1) Common Stock 2,542,885 (1) 0 I See footnote(2)
Series C Preferred Stock (1) 09/21/2020 C 228,935 (1) (1) Common Stock 228,935 (1) 0 I See footnote(3)
Series C Preferred Stock (1) 09/21/2020 C 81,314 (1) (1) Common Stock 81,314 (1) 0 I See footnote(4)
Series D Preferred Stock (1) 09/21/2020 C 1,629,792 (1) (1) Common Stock 1,629,792 (1) 0 I See footnote(2)
Series D Preferred Stock (1) 09/21/2020 C 146,730 (1) (1) Common Stock 146,730 (1) 0 I See footnote(3)
Series D Preferred Stock (1) 09/21/2020 C 52,116 (1) (1) Common Stock 52,116 (1) 0 I See footnote(4)
Series E Preferred Stock (1) 09/21/2020 C 1,654,051 (1) (1) Common Stock 1,654,051 (1) 0 I See footnote(2)
Series E Preferred Stock (1) 09/21/2020 C 148,914 (1) (1) Common Stock 148,914 (1) 0 I See footnote(3)
Series E Preferred Stock (1) 09/21/2020 C 52,892 (1) (1) Common Stock 52,892 (1) 0 I See footnote(4)
Series F Preferred Stock (1) 09/21/2020 C 331,020 (1) (1) Common Stock 331,020 (1) 0 I See footnote(2)
Series F Preferred Stock (1) 09/21/2020 C 29,801 (1) (1) Common Stock 29,801 (1) 0 I See footnote(3)
Series F Preferred Stock (1) 09/21/2020 C 10,585 (1) (1) Common Stock 10,585 (1) 0 I See footnote(4)
Series G Preferred Stock (1) 09/21/2020 C 161,822 (1) (1) Common Stock 161,822 (1) 0 I See footnote(2)
Series G Preferred Stock (1) 09/21/2020 C 14,568 (1) (1) Common Stock 14,568 (1) 0 I See footnote(3)
Series G Preferred Stock (1) 09/21/2020 C 5,175 (1) (1) Common Stock 5,175 (1) 0 I See footnote(4)
Explanation of Responses:
1. The Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series G Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
2. These shares are held of record by Greylock XIII Limited Partnership ("Greylock XIII LP"). The Reporting Person disclaims beneficial ownership of the securities held by Greylock XIII LP except to the extent of any pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission by the Reporting Person of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
3. These shares are held of record by Greylock XIII-A Limited Partnership ("Greylock XIII-A LP"). The Reporting Person disclaims beneficial ownership of the securities held by Greylock XIII-A LP except to the extent of any pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission by the Reporting Person of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
4. These shares are held of record by Greylock XIII GP LLC ("Greylock XIII GP"). The Reporting Person disclaims beneficial ownership of the securities held by Greylock XIII GP except to the extent of any pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission by the Reporting Person of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
5. These shares are represented by restricted stock units ("RSUs"). Each RSU represents the Reporting Person's right to receive one share of Common Stock of the Issuer subject to the applicable vesting schedule and the Reporting Person's continued role as a service provider to the Issuer.
Remarks:
/s/ Katherine Haar, Attorney-in-fact 09/21/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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