SEC Form 4 · accession 0001612849-16-000039
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
Dec 14, 2016
Accepted (ET)
Dec 16, 2016 · 5:15 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 StockF1 | Dec 12, 2016 | G | 35,435 | $0.00 | D | 1,183,434 | D | |
| Common StockF1 | Dec 14, 2016 | M | 50,000 | $0.70 | A | 1,233,434 | D | |
| Common StockF1 | Dec 14, 2016 | M | 34,747 | $2.76 | A | 1,268,181 | 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $0.70 | Dec 14, 2016 | M | 50,000 | D | — | Apr 19, 2022 | Common Stock | 50,000 | 0 | D |
| Employee Stock Option (right to buy)F3 | $2.76 | Dec 14, 2016 | M | 34,747 | D | — | Nov 11, 2023 | Common Stock | 34,747 | 215,252 | D |
Explanation of responses
- F1Of the reported shares, 108,696 shares are represented by RSUs.
- F2Option was granted on 4/19/2012, is fully vested and immediately exercisable.
- F3Subject to the Reporting Person's continued service to the Issuer, 50% of the shares subject to the option vest on 11/11/2015 and 25% of the shares subject to the option vest on each of 11/11/2016 and 11/11/2017.