# EDGAR Filing Document

**Accession Number:** 0001720671
**File Stem:** 0001209191-23-018910
**Filing Date:** 2023-3
**Character Count:** 12474
**Document Hash:** fcfd044c9ad42a737ccd257c2c300199
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-018910.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0001209191-23-018910

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230313

**FILED AS OF DATE**: 20230315

**DATE AS OF CHANGE**: 20230315

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Solomon Glenn
- **CENTRAL INDEX KEY:** 0001479296

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41121
- **FILM NUMBER:** 23735542

**MAIL ADDRESS:**
- **STREET 1:** C/O GGV CAPITAL
- **STREET 2:** 3000 SAND HILL ROAD, SUITE 4-230
- **CITY:** MENLO PARK
- **STATE:** CA
- **ZIP:** 94025
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HashiCorp, Inc.
- **CENTRAL INDEX KEY:** 0001720671
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-COMPUTER PROGRAMMING SERVICES [7371]
- **IRS NUMBER:** 320410665
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0131

**BUSINESS ADDRESS:**
- **STREET 1:** 101 2ND STREET, SUITE 700
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94105
- **BUSINESS PHONE:** 415-301-3227

**MAIL ADDRESS:**
- **STREET 1:** 101 2ND STREET, SUITE 700
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94105

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Solomon Glenn<br><sub>(Last) (First) (Middle)</sub><br>C/O GGV CAPITAL<br>3000 SAND HILL ROAD, SUITE 4-230<br><sub>(Street)</sub><br>MENLO PARK, CA 94025<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-13 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>HashiCorp, Inc. [ HCP ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-03-13 |  | C |  | 2098692 | A | 0.00<sup>(1)</sup> | 2098692 | I | By GGV Capital V L.P.<sup>(2)</sup> |
| Class A Common Stock | 2023-03-13 |  | C |  | 77022 | A | 0.00<sup>(1)</sup> | 77022 | I | By GGV Capital V Entrepreneurs Fund L.P.<sup>(3)</sup> |
| Class A Common Stock | 2023-03-13 |  | J<sup>(4)</sup> |  | 2098692 | D | $0.00 | 0 | I | By GGV Capital V L.P.<sup>(2)</sup> |
| Class A Common Stock | 2023-03-13 |  | J<sup>(5)</sup> |  | 77022 | D | $0.00 | 0 | I | By GGV Capital V Entrepreneurs Fund L.P.<sup>(3)</sup> |
| Class A Common Stock | 2023-03-13 |  | J<sup>(6)</sup> |  | 457974 | A | $0.00 | 599129 | I | By GGV Capital V L.L.C.<sup>(7)</sup> |
| Class A Common Stock | 2023-03-13 |  | J<sup>(8)</sup> |  | 401513 | D | $0.00 | 197616 | I | By GGV Capital V L.L.C.<sup>(7)</sup> |
| Class A Common Stock | 2022-12-19 |  | J<sup>(9)</sup> |  | 59368 | A | $0.00 | 207788 | I | By Family Trust<sup>(10)</sup> |
| Class A Common Stock | 2022-12-19 |  | J<sup>(9)</sup> |  | 5162 | A | $0.00 | 18068 | I | By Family Trust<sup>(10)</sup> |
| Class A Common Stock |  |  |  |  |  |  |  | 476666 | I | By GGV Capital Select L.P.<sup>(11)</sup> |
| Class A Common Stock |  |  |  |  |  |  |  | 363<sup>(12)</sup> | I | By GGV Capital LLC<sup>(13)</sup> |
| Class A Common Stock |  |  |  |  |  |  |  | 363<sup>(12)(14)</sup> | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class B Common Stock | <sup>(1)</sup> | 2023-03-13 |  | C |  |  | 2098692 | <sup>(15)</sup> | <sup>(15)</sup> | Class A Common Stock | 2098692 | <sup>(15)</sup> | 13641500 | I | By GGV Capital V L.P.<sup>(2)</sup> |
| Class B Common Stock | <sup>(1)</sup> | 2023-03-13 |  | C |  |  | 77022 | <sup>(15)</sup> | <sup>(15)</sup> | Class A Common Stock | 77022 | <sup>(15)</sup> | 500643 | I | By GGV Capital V Entrepreneurs Fund L.P.<sup>(3)</sup> |
| Class B Common Stock | <sup>(15)</sup> |  |  |  |  |  |  | <sup>(15)</sup> | <sup>(15)</sup> | Class A Common Stock | 6277066 |  | 6277066 | I | By GGV Capital Select L.P.<sup>(11)</sup> |
| Class B Common Stock | <sup>(15)</sup> |  |  |  |  |  |  | <sup>(15)</sup> | <sup>(15)</sup> | Class A Common Stock | 864448 |  | 864448 | I | By GGV VII Investments, L.L.C.<sup>(16)</sup> |
| Class B Common Stock | <sup>(15)</sup> |  |  |  |  |  |  | <sup>(15)</sup> | <sup>(15)</sup> | Class A Common Stock | 835632 |  | 835632 | I | By GGV VII Plus Investments L.L.C.<sup>(17)</sup> |

---

### Footnotes:

(1) Each share of Class B Common Stock was converted into one share of Class A Common Stock for no additional consideration at the option of the Reporting Person and had no expiration date.

(2) The shares are held of record by GGV Capital V L.P. ("GGV V LP"). As a managing member of GGV Capital V L.L.C. ("GGV V LLC"), the general partner of GGV V LP, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GGV V LP. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.

(3) The shares are held of record by GGV Capital V Entrepreneurs Fund L.P. ("GGV Entrepreneurs"). As a managing member of GGV V LLC, the general partner of GGV Entrepreneurs, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GGV Entrepreneurs. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.

(4) Represents a pro rata, in-kind distribution, and not a purchase or sale of securities, by GGV V LP to its general partner and limited partners without additional consideration.

(5) Represents a pro rata, in-kind distribution, and not a purchase or sale of securities, by GGV Entrepreneurs to its limited partners without additional consideration.

(6) Represents receipt of shares in the distribution in kind described in footnote (4).

(7) The shares are held of record by GGV V LLC.  As a managing member of GGV V LLC, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GGV V LLC. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.

(8) Represents a pro rata, in-kind distribution, and not a purchase or sale of securities, by GGV V LLC to its members without additional consideration.

(9) Represents receipt of shares in the distributions in kind described in footnotes (4) and (8).

(10) The shares are held of record by a family trust, as a trustee, the Reporting Person may be deemed to have voting and dispositive power over these shares.  The Reporting Person disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein.

(11) The shares are held of record by GGV Capital Select L.P. ("GGV Select LP"). As a managing member of GGV Capital Select L.L.C. ("GGV Select LLC"), the general partner of GGV Select LP, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GGV Select LP. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.

(12) The shares held by GGV Capital LLC ("GGV LLC") prior to the transactions reported herein reflect the transfer of shares from the Reporting Person to GGV LLC, which shares were previously held by the Reporting Person for the benefit of GGV LLC and such transfer did not constitute a change in beneficial ownership.

(13) The shares are held of record by GGV LLC, as a managing member of GGV LLC, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GGV LLC. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.

(14) The Reporting Person holds these shares as nominee for GGV Capital LLC and disclaims beneficial ownership of such shares except to the extent of his proportionate pecuniary interest therein.

(15) Each share of Class B Common Stock is convertible at any time into Class A Common Stock on a one-to-one basis at the Reporting Person's election and has no expiration date.

(16) The shares are held of record by GGV VII Investments, L.L.C. ("GGV VII Investments"). As a managing member of GGV Capital VII L.L.C. ("GGV Capital VII"), the manager of GGV VII Investments, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GGV VII Investments. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein.

(17) The shares are held of record by GGV VII Plus Investments, L.L.C. ("GGV Plus Investments"). As a managing member of GGV Capital VII Plus L.L.C. ("GGV Capital VII Plus"), the manager of GGV Plus Investments, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GGV Plus Investments. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his proportionate pecuniary interest therein

**Signature:** /s/ Glenn Solomon  
**Date:** 2023-03-15

### Remarks:

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.**