Sec Form 4 Filing - GRANITE GLOBAL VENTURES L.P. @ VOCERA COMMUNICATIONS, INC. - 2012-04-02

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
GRANITE GLOBAL VENTURES L.P.
2. Issuer Name and Ticker or Trading Symbol
VOCERA COMMUNICATIONS, INC. [ VCRA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) X __ Other (specify below)
Former 10% Owner
(Last) (First) (Middle)
C/O GGV CAPITAL, 2494 SAND HILL ROAD, SUITE 100
3. Date of Earliest Transaction (MM/DD/YY)
04/02/2012
(Street)
MENLO PARK, CA94025
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 04/02/2012 C 20,478 A 20,478 I By Granite Global Ventures, L.P. ( 2 )
Common Stock 04/02/2012 C 1,198,469 A 1,198,469 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Common Stock 04/02/2012 C 922 A 21,400 I By Granite Global Ventures, L.P. ( 2 )
Common Stock 04/02/2012 C 53,988 A 1,252,457 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Common Stock 04/02/2012 C 6,013 A 27,413 I By Granite Global Ventures, L.P. ( 2 )
Common Stock 04/02/2012 C 351,914 A 1,604,371 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Common Stock 04/02/2012 X 3,633 A $ 17.78 31,046 I By Granite Global Ventures, L.P. ( 2 )
Common Stock 04/02/2012 X 212,601 A $ 17.78 1,816,972 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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 D Convertible Preferred Stock ( 1 ) 04/02/2012 C 20,478 ( 1 ) ( 1 ) Common Stock 20,478 ( 1 ) 0 I By Granite Global Ventures L.P. ( 2 )
Series D Convertible Preferred Stock ( 1 ) 04/02/2012 C 1,198,469 ( 1 ) ( 1 ) Common Stock 1,198,469 ( 1 ) 0 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Series E Convertible Preferred Stock ( 1 ) 04/02/2012 C 922 ( 1 ) ( 1 ) Common Stock 922 ( 1 ) 0 I By Granite Global Ventures L.P. ( 2 )
Series E Convertible Preferred Stock ( 1 ) 04/02/2012 C 53,988 ( 1 ) ( 1 ) Common Stock 53,988 ( 1 ) 0 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Series F Convertible Preferred Stock ( 1 ) 04/02/2012 C 6,013 ( 1 ) ( 1 ) Common Stock 6,013 ( 1 ) 0 I By Granite Global Ventures L.P. ( 2 )
Series F Convertible Preferred Stock ( 1 ) 04/02/2012 C 351,914 ( 1 ) ( 1 ) Common Stock 351,914 ( 1 ) 0 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Series E Conv. Pref. Stock Purch. Warrant (Right to Buy) $ 6.61 04/02/2012 C 276 ( 4 ) 10/19/2015 Series E Convertible Preferred Stock ( 1 ) 276 ( 1 ) 0 I By Granite Global Ventures L.P. ( 2 )
Common Stock Purchase Warrant (Right to Buy) $ 6.61 04/02/2012 C 276 ( 4 )< /span> 10/19/2015 Common Stock 276 ( 1 ) 276 I By Granite Global Ventures L.P. ( 2 )
Series E Conv. Pref. Stock Purch. Warrant (Right to Buy) $ 6.61 04/02/2012 C 16,196 ( 4 ) 10/19/2015 Series E Convertible Preferred Stock ( 1 ) 16,196 ( 1 ) 0 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Common Stock Purchase Warrant (Right to Buy) $ 6.61 04/02/2012 C 16,196 ( 4 ) 10/19/2015 Common Stock 16,196 ( 1 ) 16,196 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Call Option (Right to Buy) $ 17.78 04/02/2012 P 1 04/02/2012 04/03/2012 Common Stock 285,769 $ 17.78 1 I By Granite Global Ventures (Q.P.) L.P. ( 3 ) ( 5 )
Call Option (Right to Buy) $ 17.78 04/02/2012 P 1 04/02/2012 04/03/2012 Common Stock 4,883 $ 17.78 1 I By Granite Global Ventures L.P. ( 2 ) ( 5 )
Put Option (Obligation to Buy) $ 17.78 04/02/2012 S 285,769 04/02/2012 04/03/2012 Common Stock 759,248 $ 17.78 285,769 I By Granite Global Ventures (Q.P.) L.P. ( 3 ) ( 6 )
Put Option (Obligation to Buy) $ 17.78 04/02/2012 S 4,883 04/02/2012 04/03/2012 Common Stock 4,883 $ 17.78 4,883 I By Granite Global Ventures L.P. ( 2 ) ( 6 )
Put Option (Obligation to Buy) $ 17.78 04/02/2012 X 285,769 04/02/2012 04/03/2012 Common Stock 285,769 $ 0 0 I By Granite Global Ventures (Q.P.) L.P. ( 3 ) ( 6 )
Put Option (Obligation to Buy) $ 17.78 04/02/2012 X 4,883 04/02/2012 04/03/2012 Common Stock 4,883 $ 0 0 I By Granite Global Ventures L.P. ( 2 ) ( 6 )
Stock Option (Right to Buy) $ 0.3 04/02/2012 X 41,747 ( 4 ) 05/16/2012 Common Stock 41,747 $ 0 41,747 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Stock Option (Right to Buy) $ 0.3 04/02/2012 X 713 ( 4 ) 05/16/2012 Common Stock 713 $ 0 713 I By Granite Global Ventures L.P. ( 2 )
Stock Option (Right to Buy) $ 1.08 04/02/2012 X 31,421 ( 4 ) 01/27/2015 Common Stock 31,421 $ 0 31,421 I By Granite Global Ventures (Q.P.) L.P. ( 3 )
Stock Option (Right to Buy) $ 1.08 04/02/2012 X 537 ( 4 ) 01/27/2015 Common Stock 537 $ 0 537 I By Granite Global Ventures L.P. ( 2 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
GRANITE GLOBAL VENTURES L.P.
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
GRANITE GLOBAL VENTURES (Q.P.) L.P.
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
Granite Global Ventures L.L.C.
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
Rothrock Ray A.
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
SUN ANTHONY
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
Bonham Scott
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
Kellman Joel D
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
Ng Thomas
C/O GGV CAPITAL
2494 SAND HILL ROAD, SUITE 100
MENLO PARK, CA94025
Former 10% Owner
Signatures
/s/ Hany M. Nada as Manager of Granite Global Ventures L.L.C. which serves as the sole General Partner to Granite Global Ventures L.P. 04/04/2012
Signature of Reporting Person Date
/s/ Hany M. Nada as Manager of Granite Global Ventures L.L.C. which serves as the sole General Partner to Granite Global Ventures (Q.P.) L.P. 04/04/2012
Signature of Reporting Person Date
/s/ Hany M. Nada as Manager of Granite Global Ventures L.L.C. 04/04/2012
Signature of Reporting Person Date
/s/ Hany M. Nada as Attorney-in-Fact for Ray A. Rothrock 04/04/2012
Signature of Reporting Person Date
/s/ Hany M. Nada as Attorney-in-Fact for Anthony Sun 04/04/2012
Signature of Reporting Person Date
/s/ Hany M. Nada as Attorney-in-Fact for Scott B. Bonham 04/04/2012
Signature of Reporting Person Date
/s/ Hany M. Nada as Attorney-in-Fact for Joel D. Kellman 04/04/2012
Signature of Reporting Person Date
/s/ Hany M. Nada as Attorney-in-Fact for Thomas K. Ng 04/04/2012
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each share of Series D, Series E and Series F Convertible Preferred Stock is convertible into one share of common stock upon the completion of the Issuer's initial public offering and has no expiration date.
( 2 )The shares are owned by Granite Global Ventures L.P. ("GGV LP"), which is under common control with Granite Global Ventures (Q.P.) L.P. ("QP LP"). Granite Global Ventures L.L.C. (the "General Partner") serves as the general partner of GGV LP and QP LP and possesses power to direct the voting and disposition of the shares owned by GGV LP and QP LP and may be deemed to have indirect beneficial ownership of the shares held by GGV LP and QP LP. The General Partner owns no securities of the Issuer directly. Messrs. Rothrock, Sun, Bonham, Kellman, Nada, and Ng are members of the investment committee of the General Partner and share voting and dispositive power over the shares held by GGV LP and QP LP. Mr. Nada is a director of the Issuer and, accordingly, files separate Section 16 reports. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein.
( 3 )The shares are owned by QP LP. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein. Mr. Nada is a director of the Issuer and, accordingly, files separate Section 16 reports. Each Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his, her or its proportionate pecuniary interest therein.
( 4 )Immediately exercisable.
( 5 )Consists of the option to purchase from Robert Shostak of an aggregate of (i) 212,601shares of Common Stock and options to purchase 73,168 share of Common Stock and (ii) 3,633shares of Common Stock and options to purchase 1,250 share of Common Stock by QP LP and GGV LP, respectively, at a per share price of $17.78 subject to that certain Put and Call Agreement with Dr. Shostak, as amended, as disclosed in the issuer's Form S-1, incorporated herein by reference (the "Put/Call Agreement").
( 6 )Consists of the obligation to purchase from Dr. Shostak of an aggregate of (i) 212,601shares of Common Stock and options to purchase 73,168 share of Common Stock and (ii) 3,633shares of Common Stock and options to purchase 1,250 share of Common Stock by QP LP and GGV LP, respectively, at a per share price of $17.78 subject to the Put/Call Agreement.

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).

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.