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*
Warburg Pincus Private Equity X, L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/11/2019
3. Issuer Name and Ticker or Trading Symbol
CrowdStrike Holdings, Inc. [ CRWD ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X 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)
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 A-1 Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 48,450,000 (1)(6) D
Series A-1 Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 1,550,000 (1)(6) I See Footnotes(1)(2)(3)(4)(5)
Series B Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 2,758,718 (1)(6) D
Series B Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 88,256 (1)(6) I See Footnotes(1)(2)(3)(4)(5)
Series C Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 951,756 (1)(6) D
Series C Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 30,448 (1)(6) I See Footnotes(1)(2)(3)(4)(5)
Series D Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 1,075,200 (1)(6) D
Series D Convertible Preferred Stock (1)(6) (1)(6) Class B Common Stock 34,398 (1)(6) I See Footnotes(1)(2)(3)(4)(5)
1. Name and Address of Reporting Person*
Warburg Pincus Private Equity X, L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Warburg Pincus X Partners, L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Warburg Pincus X GP L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Warburg Pincus X, L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
WPP GP LLC

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Warburg Pincus Partners, L.P.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Warburg Pincus Partners GP LLC

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
WARBURG PINCUS & CO.

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
WARBURG PINCUS LLC

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
KAYE CHARLES R

(Last) (First) (Middle)
C/O WARBURG PINCUS LLC
450 LEXINGTON AVENUE

(Street)
NEW YORK NY 10017

(City) (State) (Zip)
Explanation of Responses:
1. See Exhibit 99.1; Note 1.
2. See Exhibit 99.1; Note 2.
3. See Exhibit 99.1; Note 3.
4. See Exhibit 99.1; Note 4.
5. See Exhibit 99.1; Note 5.
6. See Exhibit 99.1; Note 6.
Remarks:
Exhibit List: Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information Exhibit 99.3 - Joint Filers' Signatures
WARBURG PINCUS PRIVATE EQUITY X, L.P. By: WP X, L.P., its GP By: WP X GP L.P., its GP By: WPP GP LLC, its GP By: WPP, L.P., its MM By: WPP GP LLC, its GP By: WP & Co., its MM By: /s/ Robert B. Knauss Name: Robert B. Knauss Title: Partner 06/11/2019
** 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.

Exhibit 99.1

 

Designated Filer:

 

Warburg Pincus Private Equity X, L.P.

Issuer & Ticker Symbol:

 

CrowdStrike Holdings, Inc. [CRWD]

Date of EventRequiring Statement:

 

June 11, 2019

 

Explanation of Responses:

 

(1)  This Form 3 is filed on behalf of the Warburg Pincus Entities (as defined below). Warburg Pincus Private Equity X, L.P., a Delaware limited partnership (“WPPE X”), is a holder of record of 48,450,000 shares of Series A-1 Convertible Preferred Stock (the “Series A-1 Preferred”) of CrowdStrike Holdings, Inc. (the “Issuer”), 2,758,718 shares of Series B Convertible Preferred Stock (the “Series B Preferred”) of the Issuer, 951,756 shares of Series C Convertible Preferred Stock (the “Series C Preferred”) of the Issuer and 1,075,200 shares of Series D Convertible Preferred Stock (the “Series D Preferred”) of the Issuer.  Warburg Pincus X Partners, L.P., a Delaware limited partnership (“WPXP” and together with WPPE X, the “WPP Funds”), is a holder of record of 1,550,000 shares of Series A-1 Preferred of the Issuer, 88,256 of Series B Preferred of the Issuer, 30,448 of Serise C Preferred of the Issuer and 34,398 of Series D Preferred of the Issuer.  Immediately prior to the completion of the Issuer’s initial public offering, each share of Series A-1 Preferred, Series B Preferred, Series C Preferred and Series D Preferred shall be automatically converted into one share of Class B Common Stock, par value $0.0005 per share (the “Class B Stock”) of the Issuer.

 

(2)  Warburg Pincus X, L.P., a Delaware limited partnership (“WP X LP”), is the general partner of the WPP Funds. Warburg Pincus X GP L.P., a Delaware limited partnership (“WP X GP”), is the general partner of WP X LP. WPP GP LLC, a Delaware limited liability company (“WPP GP”), is the general partner of WP X GP. Warburg Pincus Partners, L.P., a Delaware limited partnership (“WP Partners”), is the managing member of WPP GP. Warburg Pincus Partners GP LLC, a Delaware limited liability company (“WP Partners GP”), is the general partner of WP Partners.

 

(3) Warburg Pincus & Co., a New York general partnership (“WP”), is the managing member of WP Partners GP. Warburg Pincus LLC, a New York limited liability company (“WP LLC”), is the manager of the WPP Funds. Charles R. Kaye and Joseph P. Landy are each Managing General Partners of WP and Managing Members and Co-Chief Executive Officers of WP LLC and may each be deemed to control the Warburg Pincus Entities.  Messrs. Kaye and Landy disclaim beneficial ownership of all shares held by the Warburg Pincus Entities except to the extent of their pecuniary interest therein. Mr. Landy also serves as a director of the Issuer and is reporting on a separate Form 3.

 

(4)  Each of the WPP Funds, WP X LP, WP X GP, WPP GP, WP Partners, WP Partners GP, WP and WP LLC are collectively referred to herein as the “Warburg Pincus Entities.”

 

(5) By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), the Warburg Pincus Entities and certain affiliates may be deemed to be beneficial owners of the Class A Stock of the Issuer and Class B Stock of the Issuer held collectively by the WPP Funds.  The Warburg Pincus Entities and such affiliates disclaim beneficial ownership of such Class A Stock of the Issuer and Class B Stockof the Issuer except to the extent of their direct pecuniary interest therein.  Each of the Warburg Pincus Entities is a director-by-deputization solely for purposes of Section 16 of the Exchange Act.

 

(6)  Each share of Class B Stock is convertible, at any time at the option of the holder, into one (1) share of Class A Stock. In addition, all shares of Class B Stock will automatically convert into shares Class A Stock on the earliest of (i) the date specified by the holders of two-thirds of the then outstanding shares of the Issuer’s Class B Stock, (ii) the date on which the number of outstanding shares of the Issuer’s Class B Stock represents less than 5% of the number of outstanding shares of the Issuer’s Class A Stock and the Issuer’s Class B Stock, taken together as a single class, which calculation excludes certain Acquisition Securities, as defined in the Issuer’s amended and restated certificate of incorporation to be in effect after the completion of the Issuer’s public offering and (iii) the date that is nine months after the death or permanent and total disability of the Issuer’s founder, George Kurtz, provided that such date may be extended by a majority of the independent members of the Issuer’s board of directors to a date that is not longer than 18 months from the date of such death or disability.

 

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Exhibit 99.2

 

Designated Filer:

 

Warburg Pincus Private Equity X, L.P.

Issuer & Ticker Symbol:

 

CrowdStrike Holdings, Inc. [CRWD]

Date of EventRequiring Statement:

 

June 11, 2019

 

Exhibit 99.2 - Joint Filer Information

 

Joint Filers:

 

 

 

 

 

1. Name:

 

Warburg Pincus Private Equity X, L.P.

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

2. Name:

 

Warburg Pincus X Partners, L.P.

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

3. Name:

 

Warburg Pincus X GP L.P.

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

4. Name:

 

Warburg Pincus X, L.P.

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

5. Name:

 

WPP GP LLC

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

6. Name:

 

Warburg Pincus Partners, L.P.

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

7. Name:

 

Warburg Pincus Partners GP LLC

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

8. Name:

 

Warburg Pincus & Co.

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

9. Name:

 

Warburg Pincus LLC

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

 

 

10. Name:

 

Charles R. Kaye

 

 

Address: C/O WARBURG PINCUS LLC

 

 

450 LEXINGTON AVENUE

 

 

New York, NY 10017

 

1


Exhibit 99.3

 

Designated Filer:

 

Warburg Pincus Private Equity X, L.P.

Issuer & Ticker Symbol:

 

CrowdStrike Holdings, Inc. [CRWD]

Date of EventRequiring Statement:

 

June 11, 2019

 

Exhibit 99.3 - Joint Filers’ Signatures

 

WARBURG PINCUS PRIVATE EQUITY X, L.P.

 

 

 

 

 

 

 

 

By:

Warburg Pincus X, L.P., its general partner

 

 

 

By:

Warburg Pincus X GP L.P., its general partner

 

 

 

By:

WPP GP LLC, its general partner

 

 

 

By:

Warburg Pincus Partners, L.P., its managing member

 

 

 

By:

Warburg Pincus Partners GP LLC, its general partner

 

 

 

By:

Warburg Pincus & Co., its managing member

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

WARBURG PINCUS X PARTNERS, L.P.

 

 

 

 

 

 

 

 

By:

Warburg Pincus X, L.P., its general partner

 

 

 

By:

Warburg Pincus X GP L.P., its general partner

 

 

 

By:

WPP GP LLC, its general partner

 

 

 

By:

Warburg Pincus Partners, L.P., its managing member

 

 

 

By:

Warburg Pincus Partners GP LLC, its general partner

 

 

 

By:

Warburg Pincus & Co., its managing member

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

WARBURG PINCUS X, L.P.

 

 

 

 

 

 

 

 

By:

Warburg Pincus X GP L.P., its general partner

 

 

 

By:

WPP GP LLC, its general partner

 

 

 

By:

Warburg Pincus Partners, L.P., its managing member

 

 

 

By:

Warburg Pincus Partners GP LLC, its general partner

 

 

 

By:

Warburg Pincus & Co., its managing member

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

WARBURG PINCUS X GP L.P.

 

 

 

 

 

 

 

 

By:

WPP GP LLC, its general partner

 

 

 

By:

Warburg Pincus Partners, L.P., its managing member

 

 

 

By:

Warburg Pincus Partners GP LLC, its general partner

 

 

 

By:

Warburg Pincus & Co., its managing member

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

1


 

WPP GP LLC

 

 

 

 

 

 

 

 

By:

Warburg Pincus Partners, L.P., its managing member

 

 

 

By:

Warburg Pincus Partners GP LLC, its general partner

 

 

 

By:

Warburg Pincus & Co., its managing member

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

WARBURG PINCUS PARTNERS, L.P.

 

 

 

 

 

 

 

 

By:

Warburg Pincus Partners GP LLC, its general partner

 

 

 

By:

Warburg Pincus & Co., its managing member

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

WARBURG PINCUS PARTNERS GP LLC

 

 

 

 

 

 

 

 

By:

Warburg Pincus & Co., its managing member

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

WARBURG PINCUS & CO.

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Partner

 

 

 

 

 

 

 

 

WARBURG PINCUS LLC

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Robert B. Knauss

 

 

 

 

Title: Managing Director

 

 

 

 

 

 

 

 

CHARLES R. KAYE

 

 

 

 

 

 

 

 

By:

/s/ Robert B. Knauss

 

Date:

June 11, 2019

 

Name: Charles R. Kaye

 

 

 

 

By: Robert B. Knauss, Attorney-in-Fact*

 

 

 

 


* The Power of Attorney given by Mr. Kaye was previously filed with the U.S. Securities & Exchange Commission on July 12, 2016 as an exhibit to the Schedule 13D filed by WEX Inc. and is hereby incorporated by reference.

 

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