SEC Form 4 · accession 0000899243-16-023259
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ajay Chopra
Director · 10% Owner
Period of report
Jun 16, 2016
Accepted (ET)
Jun 17, 2016 · 9:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001449278
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 16, 2016 | A | 8,069 | $0.00 | A | 11,243 | D | |
| Common StockF3 | holding | — | — | — | 9,554 | I | By Chopra/Banerjee Revocable Trust | |
| Common StockF4 | holding | — | — | — | 4,968,249 | I | By Trinity Ventures X, L.P. | |
| Common StockF4 | holding | — | — | — | 48,044 | I | By Trinity X Entrepreneurs' Fund, L.P. | |
| Common StockF4 | holding | — | — | — | 28,134 | I | By Trinity X Side-By-Side Fund, L.P. | |
| Common StockF5 | holding | — | — | — | 2,528 | I | By TVL Management Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1One-hundred percent (100%) of the shares subject to the RSU vest upon the earlier of (i) the day prior to the next year's annual meeting of stockholders, or (ii) one year from the date of grant, subject to continued service as a director through the applicable vesting date.
- F2Of the reported shares, 8,069 shares are represented by RSUs.
- F3The shares are held by the Chopra/Banerjee Revocable Trust (the "Chopra Family Trust"). The reporting person is a trustee of the Chopra Family Trust. The reporting person disclaims beneficial ownership of the shares held by the Chopra Family Trust except to the extent of his proportionate pecuniary interest therein.
- F4Trinity TVL X, LLC is the general partner of Trinity Ventures X, L.P., Trinity X Side-By-Side Fund, L.P. and Trinity X Entrepreneurs' Fund, L.P. and has sole voting and investment power with respect to the shares held by Trinity Ventures X, L.P., Trinity X Side-By-Side Fund, L.P. and Trinity X Entrepreneurs' Fund, L.P. The reporting person is a management member of Trinity TVL X, LLC, and may be deemed to share voting and investment power over the shares owned by Trinity Ventures X, L.P., Trinity X Side-By-Side Fund, L.P. and Trinity X Entrepreneurs' Fund, L.P. The reporting person disclaims beneficial ownership of the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.
- F5Ajay Chopra serves as an officer of TVL Management Corporation. The reporting person disclaims beneficial ownership of the shares held by TVL Management Corporation except to the extent of his pecuniary interest therein.