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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1. Name and Address of Reporting Person*
Draper Fisher Jurvetson Fund IX LP

(Last) (First) (Middle)
C/O DFJ
2882 SAND HILL ROAD, SUITE 150

(Street)
MENLO PARK CA 94025

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/27/2017
3. Issuer Name and Ticker or Trading Symbol
Redfin Corp [ RDFN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
Common Stock 26,115 I By Draper Fisher Jurvetson Fund IX, L.P.(1)
Common Stock 929 I By Draper Associates Riskmasters Fund III, LLC(2)
Common Stock 707 I By Draper Fisher Jurvetson Partners IX, LLC(3)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 C Preferred Stock (4) (4) Common Stock 6,109,256 (4) I By Draper Fisher Jurvetson Fund IX, L.P.(1)
Series D Preferred Stock (5) (5) Common Stock 224,354 (5) I By Draper Fisher Jurvetson Fund IX, L.P.(1)
Series E Preferred Stock (6) (6) Common Stock 214,025 (6) I By Draper Fisher Jurvetson Fund IX, L.P.(1)
Series F Preferred Stock (7) (7) Common Stock 197,993 (7) I By Draper Fisher Jurvetson Fund IX, L.P.(1)
Series C Preferred Stock (4) (4) Common Stock 165,553 (4) I By Draper Fisher Jurvetson Partners IX, LLC(3)
Series D Preferred Stock (5) (5) Common Stock 6,079 (5) I By Draper Fisher Jurvetson Partners IX, LLC(3)
Series E Preferred Stock (6) (6) Common Stock 5,799 (6) I By Draper Fisher Jurvetson Partners IX, LLC(3)
Series F Preferred Stock (7) (7) Common Stock 5,365 (7) I By Draper Fisher Jurvetson Partners IX, LLC(3)
Series C Preferred Stock (4) (4) Common Stock 217,492 (4) I By Draper Associates, L.P.(8)
Series D Preferred Stock (5) (5) Common Stock 7,987 (5) I By Draper Associates, L.P.(8)
Series E Preferred Stock (6) (6) Common Stock 7,619 (6) I By Draper Associates Riskmasters Fund II, LLC(9)
Series F Preferred Stock (7) (7) Common Stock 7,048 (7) I By Draper Associates Riskmasters Fund III, LLC(2)
1. Name and Address of Reporting Person*
Draper Fisher Jurvetson Fund IX LP

(Last) (First) (Middle)
C/O DFJ
2882 SAND HILL ROAD, SUITE 150

(Street)
MENLO PARK CA 94025

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Fisher John H N

(Last) (First) (Middle)
C/O DFJ
2882 SAND HILL ROAD, SUITE 150

(Street)
MENLO PARK CA 94025

(City) (State) (Zip)
1. Name and Address of Reporting Person*
DRAPER TIMOTHY C

(Last) (First) (Middle)
C/ DFJ
2882 SAND HILL ROAD, SUITE 150

(Street)
MENLO PARK CA 94025

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Jurvetson Stephen T

(Last) (First) (Middle)
C/O DFJ
2882 SAND HILL ROAD, SUITE 150

(Street)
MENLO PARK CA 94025

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Draper Fisher Jurvetson Partners IX, LLC

(Last) (First) (Middle)
C/O DFJ
2882 SAND HILL ROAD, SUITE 150

(Street)
MENLO PARK CA 94025

(City) (State) (Zip)
Explanation of Responses:
1. These securities are held of record by Draper Fisher Jurvetson Fund IX, L.P. ("Fund IX"). Draper Fisher Jurvetson Fund IX Partners, L.P. ("Fund IX Partners") is the general partner of Fund IX. Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson are the Managing Directors of Fund IX Partners and each may be deemed to share voting and investment power over the securities held by Fund IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
2. These securities are held of record by Draper Associates Riskmasters Fund III, LLC ("DARF III"). DARF III invests lockstep alongside Fund IX, instead and in place of DARF II beginning August 2013. Mr. Draper is the Managing Member of DARF III and may be deemed to have voting and investment power over the securities held by DARF III. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
3. These securities are held of record by Draper Fisher Jurvetson Partners IX, LLC ("Partners IX"). Partners IX invests lockstep alongside Fund IX. Messrs. Draper, Fisher and Jurvetson are the Managing Members of Partners IX and each may be deemed to share voting and investment power over the securities held by Partners IX. Each of such individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
4. Each share of the issuer's Series C Preferred Stock will automatically convert into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering ("IPO") and has no expiration date and has no expiration date.
5. Each share of the issuer's Series D Preferred Stock will automatically convert into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.
6. Each share of the issuer's Series E Preferred Stock will automatically convert into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.
7. Each share of the issuer's Series F Preferred Stock will automatically convert into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.
8. These securities are held of record by Draper Associates, L.P. ("DALP"). DALP invests lockstep alongside Fund IX. The general partner of DALP is Draper Associates, Inc., which is controlled by its President and majority shareholder, Timothy C. Draper. Mr. Draper may be deemed to have voting and investment power over the securities held by DALP. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
9. These securities are held of record by Draper Associates Riskmasters Fund II, LLC ("DARF II"). DARF II invests lockstep alongside Fund IX, instead and in place of DALP beginning June 2010. Mr. Draper is the Managing Member of DARF II and may be deemed to have voting and investment power over the securities held by DARF II. Mr. Draper disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Remarks:
/s/ John H.N. Fisher 07/27/2017
/s/ Timothy C. Draper 07/27/2017
/s/ Steven T. Jurvetson 07/27/2017
/s/ Timothy C. Draper, Managing Member of DARF II, DARF III and Partners IX, General Partner of DALP, and Managing Director of Fund IX Partners, which is the general partner of Fund IX 07/27/2017
/s/ John H.N. Fisher, Managing Member of Partners IX and Managing Director of Fund IX Partners, which is the general partner of Fund IX 07/27/2017
/s/ Steven T. Jurvetson, Managing Member of Partners IX and Managing Director of Fund IX Partners, which is the general partner of Fund IX 07/27/2017
** 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).
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