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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/09/2012 |
3. Issuer Name and Ticker or Trading Symbol
AMBARELLA INC [ AMBA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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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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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preference Shares | (1) | (1) | Ordinary Shares | 1,560,060(1) | (1) | I | By Pacven Walden Ventures V, L.P.(4) |
Series A Convertible Preference Shares | (1) | (1) | Ordinary Shares | 5,413(1) | (1) | I | By Pacven Walden Ventures V Associates Fund, L.P.(4) |
Series A Convertible Preference Shares | (1) | (1) | Ordinary Shares | 35,895(1) | (1) | I | By Pacven Walden Ventures Parallel V-A C.V.(4) |
Series A Convertible Preference Shares | (1) | (1) | Ordinary Shares | 35,895(1) | (1) | I | By Pacven Walden Ventures Parallel V-B C.V.(4) |
Series A Convertible Preference Shares | (1) | (1) | Ordinary Shares | 29,402(1) | (1) | I | By Pacven Walden Ventures V-QP Associates Fund, L.P.(4) |
Series B Convertible Preference Shares | (2) | (2) | Ordinary Shares | 653,291(2) | (2) | I | By Pacven Walden Ventures V, L.P.(4) |
Series B Convertible Preference Shares | (2) | (2) | Ordinary Shares | 2,266(2) | (2) | I | By Pacven Walden Ventures V Associates Fund, L.P.(4) |
Series B Convertible Preference Shares | (2) | (2) | Ordinary Shares | 15,031(2) | (2) | I | By Pacven Walden Ventures Parallel V-A C.V.(4) |
Series B Convertible Preference Shares | (2) | (2) | Ordinary Shares | 15,031(2) | (2) | I | By Pacven Walden Ventures Parallel V-B C.V.(4) |
Series B Convertible Preference Shares | (2) | (2) | Ordinary Shares | 12,312(2) | (2) | I | By Pacven Walden Ventures V-QP Associates Fund, L.P.(4) |
Series C Convertible Preference Shares | (3) | (3) | Ordinary Shares | 606,690(3) | (3) | I | By Pacven Walden Ventures V, L.P.(4) |
Series C Convertible Preference Shares | (3) | (3) | Ordinary Shares | 2,105(3) | (3) | I | By Pacven Walden Ventures V Associates Fund, L.P.(4) |
Series C Convertible Preference Shares | (3) | (3) | Ordinary Shares | 13,959(3) | (3) | I | By Pacven Walden Ventures Parallel V-A C.V.(4) |
Series C Convertible Preference Shares | (3) | (3) | Ordinary Shares | 13,959(3) | (3) | I | By Pacven Walden Ventures Parallel V-B C.V.(4) |
Series C Convertible Preference Shares | (3) | (3) | Ordinary Shares | 11,434(3) | (3) | I | By Pacven Walden Ventures V-QP Associates Fund, L.P.(4) |
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: |
1. The Series A Convertible Preference Shares shall automatically convert into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and has no expiration date. |
2. The Series B Convertible Preference Shares shall automatically convert into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and has no expiration date. |
3. The Series C Convertible Preference Shares shall automatically convert into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and has no expiration date. |
4. Pacven Walden Management V Co. Ltd. ("Pacven V Mgmnt"), the Designated Filer, is the general partner of Pacven Walden Ventures V, L.P. ("Pacven Ventures V"), Pacven Walden Ventures Parallel V-A, C.V. ("Pacven V Parallel A"), Pacven Walden Ventures Parallel Fund V-B, C.V. ("Pacven V Parallel B"), Pacven Walden Ventures V Associates Fund, L.P. ("Pacven V A") and Pacven Walden Ventures V-QP Associates Fund, L.P. ("Pacven V-QP"). Lip-Bu Tan is the sole director of Pacven V Mgmnt and shares voting and investment power with respect to the shares held by Pacven Ventures V, Pacven V Parallel A, Pacven V Parallel B, Pacven V A and Pacven V-QP with the other members of the Investment Committee of Pacven V Mgmnt. The members of such Investment Committee are Lip-Bu Tan, Andrew Kau, Hock Voon Loo and Brian Chiang. Each member disclaims beneficial ownership of the shares except the extent of his or her pecuniary interest. |
/s/ Lip-Bu Tan | 10/09/2012 | |
** 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. |