SEC Form 4 · accession 0001209191-17-038155
Telaria, Inc. · TLRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin ORourke Thompson
Director
Period of report
Jun 2, 2017
Accepted (ET)
Jun 6, 2017 · 4:58 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 | Jun 2, 2017 | M | 12,571 | — | A | 12,571 | 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 | — | Jun 2, 2017 | M | 12,571 | D | — | — | Common Stock | 12,571 | 84,388 | D |
| Restricted Stock UnitF3,F4 | — | Jun 2, 2017 | A | 32,467 | A | — | — | Common Stock | 32,467 | 32,467 | D |
Explanation of responses
- F112,571 shares of the restricted stock unit granted to the reporting person on January 10, 2017 vested on June 2, 2017, the date of the Issuer's 2017 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.
- F2(i) 12,571 restricted stock unit vested in full on the date of the Issuer's 2017 Annual Meeting of Stockholders, and (ii) 84,388 restricted stock units vest in full on January 11, 2018, in each case subject to such director's continued service on the Board of Directors as of each such date, and provided further that, if such 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.
- F3Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.
- F4The restricted stock unit vests in full on the date of the Issuer's 2018 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.