SEC Form 4 · accession 0001209191-15-087195
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia Nakache
10% Owner
Period of report
Dec 23, 2015
Accepted (ET)
Dec 28, 2015 · 8:27 pm EST
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 StockF4,F5 | Dec 23, 2015 | S | 2,727 | $13.83 | D | 5,755 | I | By Gordon/Nakache Family Trust |
| Common StockF6,F5 | Dec 24, 2015 | S | 629 | $14.00 | D | 5,126 | I | By Gordon/Nakache Family Trust |
| Common StockF7,F5 | Dec 28, 2015 | S | 1,841 | $13.55 | D | 3,285 | I | By Gordon/Nakache Family Trust |
| Common StockF1,F2 | holding | — | — | — | 5,552,749 | I | By Trinity Ventures X, L.P. | |
| Common StockF1,F2 | holding | — | — | — | 53,696 | I | By Trinity X Entrepreneurs' Fund, L.P. | |
| Common StockF1,F2 | holding | — | — | — | 31,444 | I | By Trinity X Side-By-Side Fund, L.P. | |
| Common StockF2 | holding | — | — | — | 2,308 | I | By TVL Management Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Trinity 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.
- F2The 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 serves as an officer of TVL Management Corporation. The Reporting Person disclaims beneficial ownership of the shares held by the aforementioned entities except to the extent of her pecuniary interest therein.
- F3The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 14, 2015.
- F4Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $13.54 to $14.12 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F5The shares are held by the Gordon/Nakache Family Trust (the "Nakache Family Trust"). The Reporting Person is a trustee of the Nakache Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Nakache Family Trust except to the extent of her proportionate pecuniary interest therein.
- F6Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $13.91 to $14.02 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F7Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $13.22 to $13.80 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.