SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/01/2014
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3. Issuer Name and Ticker or Trading Symbol
RUBICON PROJECT, INC.
[ RUBI ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
97,000 |
D |
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Common Stock |
1,500 |
I |
By Mayfield Associates Fund XII |
Common Stock |
1,500 |
I |
By Mayfield Principals Fund XII |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series B Convertible Preferred Stock |
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Common Stock |
3,291,662 |
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D
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Series C Convertible Preferred Stock |
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Common Stock |
231,039 |
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D
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Series D Convertible Preferred Stock |
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Common Stock |
369,671 |
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D
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Series B Convertible Preferred Stock |
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Common Stock |
50,902 |
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I
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By Mayfield Associates Fund XII |
Series C Convertible Preferred Stock |
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Common Stock |
3,573 |
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I
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By Mayfield Associates Fund XII |
Series D Convertible Preferred Stock |
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Common Stock |
5,716 |
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I
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By Mayfield Associates Fund XII |
Series B Convertible Preferred Stock |
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Common Stock |
50,902 |
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I
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By Mayfield Principals Fund XII |
Series C Convertible Preferred Stock |
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Common Stock |
3,573 |
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I
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By Mayfield Principals Fund XII |
Series D Convertible Preferred Stock |
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Common Stock |
5,716 |
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I
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By Mayfield Principals Fund XII |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
Remarks: |
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James T. Beck, Authorized Signatory for Mayfield XII Management, L.L.C., the sole General Partner of Mayfield XII, a Delaware Limited Partnership |
04/01/2014 |
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James T. Beck, Authorized Signatory for Mayfield XII Management, L.L.C. |
04/01/2014 |
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James T. Beck, Authorized Signatory for Mayfield XII Management, L.L.C., the sole General Partner of Mayfield Associates Fund XII, a Delaware Limited Partnership |
04/01/2014 |
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James T. Beck, Authorized Signatory for Mayfield XII Management, L.L.C., the Managing Director of Mayfield Principals Fund XII, a Delaware Multiple Series LLC |
04/01/2014 |
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James T. Beck |
04/01/2014 |
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James T. Beck, Attorney-In-Fact for Navin Chaddha |
04/01/2014 |
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James T. Beck, Attorney-In-Fact for Robert T. Vasan |
04/01/2014 |
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** 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
5
(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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby authorizes James T.
Beck, for so long as he is an employee, member or partner of Mayfield, to
execute for and on behalf of the undersigned, in the undersigned's
individual capacity, in the undersigned's capacity as a member of any
limited liability company and in the undersigned's capacity as a partner of
any general or limited partnership, (i) any and all filings pursuant to
Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"),
including any and all Forms 3, 4 and 5, and Section 13 of the Exchange Act,
including Schedules 13D and 13G, and any amendments thereto and joint
filing agreements and other documents in connection therewith, and (ii) any
applications for EDGAR access codes, including the Form ID, in each case as
may be required to be filed from time to time with the U. S. Securities and
Exchange Commission with respect to any investments of Mayfield Fund and
its affiliates (collectively, "Mayfield"), and cause any and all of such
forms, schedules, agreements and documents to be filed with the U. S.
Securities and Exchange Commission pursuant to Section 13 and Section 16 of
the Exchange Act, relating to the undersigned's direct or indirect
beneficial ownership of securities (in the undersigned's individual
capacity, or in the undersigned's capacity as a member of any limited
liability company or partner in any general or limited partnership). The
undersigned hereby grants to such attorney-in-fact full power and authority
to do and perform any and every act and thing whatsoever requisite,
necessary or proper to be done in the exercise of any of the rights and
powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorney-in-fact, in serving in such capacity at the request of
the undersigned, is not assuming, nor is Mayfield assuming, any of the
undersigned's responsibilities to comply with Section 16 or Section 13 of
the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer an employee, member or partner of Mayfield, unless
earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 31st day of January, 2011.
/s/
Name: Navin Chaddha
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby authorizes James T.
Beck, for so long as he is an employee, member or partner of Mayfield, to
execute for and on behalf of the undersigned, in the undersigned's
individual capacity, in the undersigned's capacity as a member of any
limited liability company and in the undersigned's capacity as a partner of
any general or limited partnership, (i) any and all filings pursuant to
Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"),
including any and all Forms 3, 4 and 5, and Section 13 of the Exchange Act,
including Schedules 13D and 13G, and any amendments thereto and joint
filing agreements and other documents in connection therewith, and (ii) any
applications for EDGAR access codes, including the Form ID, in each case as
may be required to be filed from time to time with the U. S. Securities and
Exchange Commission with respect to any investments of Mayfield Fund and
its affiliates (collectively, "Mayfield"), and cause any and all of such
forms, schedules, agreements and documents to be filed with the U. S.
Securities and Exchange Commission pursuant to Section 13 and Section 16 of
the Exchange Act, relating to the undersigned's direct or indirect
beneficial ownership of securities (in the undersigned's individual
capacity, or in the undersigned's capacity as a member of any limited
liability company or partner in any general or limited partnership). The
undersigned hereby grants to such attorney-in-fact full power and authority
to do and perform any and every act and thing whatsoever requisite,
necessary or proper to be done in the exercise of any of the rights and
powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorney-in-fact, in serving in such capacity at the request of
the undersigned, is not assuming, nor is Mayfield assuming, any of the
undersigned's responsibilities to comply with Section 16 or Section 13 of
the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer an employee, member or partner of Mayfield, unless
earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 31st day of January, 2011.
/s/
Name: Robert T. Vasan