SEC Form 4 · accession 0001209191-18-060976
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
Dec 3, 2018
Accepted (ET)
Dec 4, 2018 · 5:32 pm EST
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 | Dec 3, 2018 | M | 25,000 | — | A | 131,963 | D | |
| Common StockF2 | Dec 3, 2018 | F | 8,492 | $3.02 | D | 123,471 | 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,F3 | $0.00 | Dec 3, 2018 | M | 25,000 | D | — | — | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
- F2The transaction reported represents the non-discretionary withholding of shares to satisfy the reporting person's tax withholding obligations in connection with the vesting and settlement of restricted stock units.
- F3Grant 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 each of December 3, 2016, December 3, 2017 and December 3, 2018; the remaining shares shall vest on December 3, 2019, 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.