Form Type: 4

SEC EDGAR Link
Acccession Number:0001183755-19-000006
Date:2019-08-05
Issuer: KRATOS DEFENSE & SECURITY SOLUTIONS, INC. (KTOS)
Original Submission Date:

Reporting Person:

CARANO BANDEL L
C/O OAK INVESTMENT PARTNERS
901 MAIN AVENUE, SUITE 600 NORWALK, CT 06851

Reporting Person:

OAK INVESTMENT PARTNERS XIII, LIMITED PARTNERSHIP
901 MAIN AVENUE
SUITE 600 NORWALK, CT 06851

Reporting Person:

OAK INVESTMENT PARTNERS X LTD PARTNERSHIP
901 MAIN AVENUE
SUITE 600 NORWALK, CT 06851

Reporting Person:

OAK X AFFILIATES FUND LP
901 MAIN AVENUE
SUITE 600 NORWALK, CT 06851

Reporting Person:

OAK INVESTMENT PARTNERS IX L P
901 MAIN AVENUE
SUITE 600 NORWALK, CT 06851

Reporting Person:

OAK IX AFFILIATES FUND LP
901 MAIN AVENUE
SUITE 600 NORWALK, CT 06851

Reporting Person:

OAK IX AFFILIATES FUND A LP
901 MAIN AVENUE
SUITE 600 NORWALK, CT 06851

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 2019-08-05 J 12,235,117 d $0.00 699,090 indirect f3
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
DIRECTOROPTION 0.0 deemed execution date 0 ( ) common stock $0.00 81,051 direct
Footnotes
IDfootnote
f1 on august 5, 2019, oak investment partners ix, l.p. ("oak ix"), oak ix affiliates fund, l.p. ("oak ix affiliates"), oak ix affiliates fund-a, l.p. ("oak ix affiliates-a"), oak investment partners x, l.p. ("oak x"), oak x affiliates fund, l.p. ("oak x affiliates"), and oak investment partners xiii, l.p. ("oak xiii") made in-kind distributions of 265,108, 2,824, 6,363, 1,345,243, 25,919, and 10,589,660 shares respectively, without any additional consideration of common stock of the issuer to the limited partners of oak ix, oak ix affiliates, oak ix affiliates-a, oak x, oak x affiliates, and oak xiii.
f2 consists of 2,678 shares of common stock held by oak ix; 29 shares of common stock held by oak ix affiliates; 64 shares of common stock held by oak ix affiliates-a; 285,717 shares of common stock held by oak x; 262 shares of common stock held by oak x affiliates; 410,340 shares of common stock held by oak xiii.
f3 common stock distributed was held by oak ix, oak ix affiliates, oak ix affiliates-a, oak x, oak x affiliates, and oak xiii. oak associates ix, l.l.c. is the general partner of oak ix; oak ix affiliates, l.l.c. is the general partner of oak ix affiliates and oak ix affiliates-a; oak associates x, l.l.c. is the general partner of oak x; oak x affiliates, l.l.c. is the general partner of oak x affiliates; and oak associates xiii, l.l.c. is the general partner of oak xiii and may be deemed to beneficially own the reported securities.
f4 consists of director option to purchase 19,430 shares of common stock, which is held by mr. carano on behalf of oak x; director option to purchase 313 shares of common stock, which is held by mr. carano on behalf of oak x affiliates; and director option to purchase 61,308 shares of common stock, which is held by mr. carano on behalf of oak xiii.

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