SEC Form 4 · accession 0001612849-16-000013
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brett Wilson
Officer — President, CEO & Director · Director
Period of report
Feb 5, 2016
Accepted (ET)
Feb 9, 2016 · 9:38 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 Stock | Dec 11, 2015 | G | 10,000 | $0.00 | D | 1,364,250 | D | |
| Common StockF1,F2 | Feb 5, 2016 | A | 133,779 | $0.00 | A | 1,498,029 | D | |
| Common StockF4,F2 | Feb 8, 2016 | S | 15,000 | $10.25 | D | 1,483,029 | D | |
| Common StockF5,F2 | Feb 9, 2016 | S | 15,000 | $10.19 | D | 1,468,029 | D | |
| Common Stock | holding | — | — | — | 18,500 | I | By Child A | |
| Common Stock | holding | — | — | — | 18,500 | I | by Child B | |
| Common Stock | holding | — | — | — | 18,500 | I | by Child C | |
| Common Stock | holding | — | — | — | 250 | I | by Niece | |
| Common Stock | holding | — | — | — | 250 | I | by Nephew |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported shares are represented by restricted stock units or RSUs which vest over a four-year period as follows: 1/16th of the shares underlying the RSU award vest on the date three months after the vesting commencement date and 1/16th of the shares underlying the RSU award vest every three months thereafter, subject to the Reporting Person's continued service to the Issuer.
- F2Of the reported shares, 133,779 shares are represented by RSUs.
- F3The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 2, 2014.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.155 to $10.66 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.89 to $10.39 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.