Form Type: 4

SEC EDGAR Link
Accession Number:0001179110-19-007726
Date:2019-06-13
Issuer: CARBON BLACK, INC. (CBLK)
Original Submission Date:

Reporting Person:

FAGNAN JEFF
C/O CARBON BLACK, INC.
1100 WINTER STREET WALTHAM, MA 02451

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-06-13 A 9,375 a $0.00 15,382 direct
COMMON STOCK 2019-06-13 0 $0.00 9,365,231 indirect f2
COMMON STOCK 2019-06-13 0 $0.00 286,392 indirect f3
COMMON STOCK 2019-06-13 0 $0.00 171,480 indirect f4
COMMON STOCK 2019-06-13 0 $0.00 181,273 indirect f5
COMMON STOCK 2019-06-13 0 $0.00 21,079 indirect f6
COMMON STOCK 2019-06-13 0 $0.00 174,500 indirect f7
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the shares were acquired pursuant to a restricted stock unit award under the 2018 stock option and incentive plan. each restricted stock unit represents a contingent right to receive one share of carbon black, inc. common stock. the restricted stock units fully vest on june 12, 2020.
f2 the shares are held directly by atlas venture fund vi, l.p. ("avf vi"). atlas venture associates vi, l.p. ("ava vi lp") is the sole general partner of avf vi. atlas venture associates vi, inc. ("ava vi inc.") is the sole general partner of ava vi lp. mr. fagnan is a director of ava vi inc. and is an investor in a limited partner of avf vi. mr. fagnan disclaims section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. this report shall not be deemed to be an admission that mr. fagnan is the beneficial owner of such securities for purposes of section 16 or for any other purpose.
f3 the shares are held directly by atlas venture entrepreneurs' fund vi, l.p. ("avef vi"). ava vi lp is the sole general partner of avef vi. mr. fagnan disclaims section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. this report shall not be deemed to be an admission that mr. fagnan is the beneficial owner of such securities for purposes of section 16 or for any other purpose.
f4 the shares are held directly by atlas venture fund vi gmbh & co. kg ("avfg vi"). ava vi lp is the managing partner of avfg vi. mr. fagnan disclaims section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. this report shall not be deemed to be an admission that mr. fagnan is the beneficial owner of such securities for purposes of section 16 or for any other purpose.
f5 the shares are held directly by atlas venture fund ix, l.p. ("avf ix"). atlas venture associates ix, l.p. ("ava ix lp") is the general partner of avf ix. atlas venture associates ix, llc ("ava ix llc") is the general partner of ava ix lp. mr. fagnan is a member of ava ix lp. mr. fagnan disclaims section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. this report shall not be deemed to be an admission that mr. fagnan is the beneficial owner of such securities for purposes of section 16 or for any other purpose.
f6 the shares are held directly by accom b9f investors, llc ("ab9f"). mr. fagnan is a member of ab9f. mr. fagnan disclaims section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. this report shall not be deemed to be an admission that mr. fagnan is the beneficial owner of such securities for purposes of section 16 or for any other purpose.
f7 the shares are held directly by accomplice cb investors, llc ("acbi"). mr. fagnan is a member of acbi. mr. fagnan disclaims section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. this report shall not be deemed to be an admission that mr. fagnan is the beneficial owner of such securities for purposes of section 16 or for any other purpose.
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