SEC Form 4 · accession 0001209191-16-128778
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ashu Garg
Director
Period of report
Jun 16, 2016
Accepted (ET)
Jun 20, 2016 · 3:12 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 | — | — | — | 6,628,097 | I | By Foundation Capital VI, L.P. | |
| Common StockF3 | holding | — | — | — | 82,732 | I | By: Foundation Capital VI Principals Fund, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1One-hundred percent (100%) of the shares subject to the Restricted Stock Unit ("RSU") vests 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.
- F2Each share of common stock is represented by a RSU.
- F3Foundation Capital Management Co. VI, LLC is the sole general partner of Foundation Capital VI, L.P. and the sole manager of 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. The reporting person is a management member 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. The reporting person disclaims beneficial ownership of the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.