SEC Form 4 · accession 0001209191-17-032396
Telaria, Inc. · TLRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katie Seitz Evans
Officer — Chief Operating Officer
Period of report
Apr 29, 2017
Accepted (ET)
May 15, 2017 · 5:34 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 | Apr 29, 2017 | M | 12,500 | — | A | 49,952 | D | |
| Common Stock | Apr 29, 2017 | F | 4,621 | $2.26 | D | 45,331 | 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,F2 | $0.00 | Apr 29, 2017 | M | 12,500 | D | — | — | Common Stock | 12,500 | 37,500 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
- F2Grant to the reporting person of a restricted stock unit under the 2013 Plan. 25% of the total shares underlying the restricted stock unit grant vested on April 29, 2017; the remaining shares shall vest on each of April 29, 2018, April 29, 2019 and April 29, 2020, subject to continued service to the issuer through each vesting date. This restricted stock unit grant is subject to accelerated vesting in the event that the recipient is subject to a qualified termination within a specified period of time prior to or following the closing of a change in control transaction.