SEC Form 4 · accession 0001209191-16-139899
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ajay Chopra
Director · 10% Owner
Period of report
Aug 31, 2016
Accepted (ET)
Sep 2, 2016 · 7:55 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 StockF3,F4 | Aug 31, 2016 | J | 292,250 | $0.00 | D | 4,383,749 | I | By Trinity Ventures X, L.P. |
| Common StockF3,F4 | Aug 31, 2016 | J | 2,826 | $0.00 | D | 42,392 | I | By Trinity X Entrepreneurs' Fund, L.P. |
| Common StockF3,F4 | Aug 31, 2016 | J | 1,655 | $0.00 | D | 24,824 | I | By Trinity X Side-By-Side Fund, L.P. |
| Common StockF3,F4 | Aug 31, 2016 | J | 2,922 | $0.00 | A | 2,922 | I | By Trinity TVL X, LLC |
| Common StockF3,F4 | Aug 31, 2016 | J | 2,922 | $0.00 | D | 0 | I | By Trinity TVL X, LLC |
| Common StockF4,F9 | Aug 31, 2016 | J | 110 | $0.00 | A | 2,748 | I | By TVL Management Corporation |
| Common StockF4,F10 | Aug 31, 2016 | J | 577 | $0.00 | A | 10,708 | I | By Chopra/Banerjee Revocable Trust |
| Common Stock | holding | — | — | — | 11,243 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Trinity Ventures X, L.P. without consideration to its limited partners and its general partner, Trinity TVL X, LLC.
- F10The shares are held by the Chopra/Banerjee Revocable Trust (the "Chopra Family Trust"). Mr. Chopra is a trustee of the Chopra Family Trust. Mr. Chopra disclaims beneficial ownership of the shares held by the Chopra Family Trust except to the extent of his proportionate pecuniary interest therein.
- F2The transactions being reported were effected pursuant to a Rule 10b5-1 plan adopted on September 14, 2015.
- 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.
- F4Mr. Chopra 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. Mr. Chopra serves as an officer of Trinity TVL Management Corporation. Mr. Chopra disclaims beneficial ownership of the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.
- F5Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Trinity X Entrepreneurs' Fund, L.P. without consideration to its limited partners.
- F6Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Trinity X Side-By-Side Fund, L.P. without consideration to its limited partners.
- F7Represents a change in the form of ownership from indirect to direct by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer by Trinity Ventures X, L.P. described in footnote 1.
- F8Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Trinity TVL X, LLC without consideration to its members.
- F9The shares are held by Trinity TVL Management Corporation.