SEC Form 4 · accession 0001209191-15-055515
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 18, 2015
Accepted (ET)
Jun 22, 2015 · 9:19 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 18, 2015 | A | 3,174 | $0.00 | A | 3,174 | D | |
| Common StockF3 | holding | — | — | — | 5,844,999 | I | By Trinity Ventures X, L.P. | |
| Common StockF3 | holding | — | — | — | 56,522 | I | By Trinity X Entrepreneurs' Fund, L.P. | |
| Common StockF3 | holding | — | — | — | 33,099 | I | By Trinity X Side-By-Side Fund, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $15.37 | Jun 18, 2015 | A | 5,679 | A | — | Jun 18, 2025 | Common Stock | 5,679 | 5,679 | D |
Explanation of responses
- F1Each share of common stock is represented by a Restricted Stock Unit ("RSU"). One-hundred percent (100%) of the shares subject to the RSU vest upon the earlier of (i) the day prior 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, 3,174 shares are represented by RSUs.
- F3Trinity 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.
- F4One-hundred percent (100%) of the option vests 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.