SEC Form 4 · accession 0001277624-16-000011
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack R Lazar
Director
Period of report
Aug 11, 2016
Accepted (ET)
Aug 18, 2016 · 8:11 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 | Aug 11, 2016 | M | 5,000 | $2.76 | A | 39,693 | D | |
| Common StockF1 | Aug 11, 2016 | S | 5,000 | $10.00 | D | 34,693 | D |
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)F3 | $2.76 | Aug 11, 2016 | M | 5,000 | D | — | Nov 11, 2023 | Common Stock | 5,000 | 107,500 | D |
Explanation of responses
- F1Of the reported shares, 8,069 shares are represented by RSUs.
- F2The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2016.
- F3Subject to the Reporting Person's continued service to the Issuer, 1/48th of the shares subject to the option vested on 11/23/2013, and thereafter 1/48th of the shares vest monthly.