SEC Form 4 · accession 0001209191-16-126251
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ashu Garg
Director
Period of report
Jun 6, 2016
Accepted (ET)
Jun 7, 2016 · 4:14 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 StockF2,F3 | Jun 6, 2016 | S | 6,978 | $12.69 | D | 0 | I | By Ashu Garg and Pooja Malik Revocable Trust dated February 15, 2013 |
| Common StockF1 | holding | — | — | — | 6,628,097 | I | By Foundation Capital VI, L.P. | |
| Common StockF1 | holding | — | — | — | 82,732 | I | By: Foundation Capital VI Principals Fund, LLC | |
| Common Stock | holding | — | — | — | 3,174 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Foundation Capital Management Co. VI, LLC is the sole manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of Foundation Capital Management Co. VI, LLC, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. VI, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.
- F2Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $12.69 to $12.70 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.
- F3The shares are held by Ashu Garg and Pooja Malik Revocable Trust dated February 15, 2013 (the "Garg Malik Trust"). Ashu Garg is a trustee of the Garg Malik Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Garg Malik Trust except to the extent of his proportionate pecuniary interest therein.