SEC Form 4 · accession 0001209191-15-049061
Telaria, Inc. · TLRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Caine
Director
Period of report
May 29, 2015
Accepted (ET)
Jun 2, 2015 · 5:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001375796
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 29, 2015 | M | 21,786 | — | A | 21,786 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | — | May 29, 2015 | M | 21,786 | D | — | — | Common Stock | 21,786 | 0 | D |
| Restricted Stock UnitF2,F3 | — | May 29, 2015 | A | 27,881 | A | — | — | Common Stock | 27,881 | 27,881 | D |
Explanation of responses
- F1The restricted stock unit granted to the reporting person on June 20, 2014 vested on May 29, 2015, the date of the Issuer's 2015 Annual Meeting of Stockholders, at which time it automatically converted into the same number of shares of common stock. While the shares of common stock are fully vested, they will not be issued until the expiration of the Issuer's current blackout period.
- F2Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.
- F3The restricted stock unit vests in full on the date of the Issuer's 2016 Annual Meeting of Stockholders, subject to such director's continued service on the Board of Directors as of such date, and provided that if such meeting date occurs during a regular or special blackout period, the shares underlying the restricted stock unit award will not be issued until the end of such blackout period.