SEC Form 4 · accession 0001612849-16-000040
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
Sep 12, 2016
Accepted (ET)
Dec 21, 2016 · 9:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001449278
Table I — non-derivative securities
No Table I lines on this filing.
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 | $17.04 | Sep 12, 2016 | D | 308,028 | D | — | Nov 12, 2024 | Common Stock | 308,028 | 0 | D |
| Employee Stock Option (right to buy)F3 | $17.04 | Sep 12, 2016 | D | 385,035 | D | — | Nov 12, 2024 | Common Stock | 385,035 | 0 | D |
Explanation of responses
- F1On September 12, 2016, the Issuer canceled an option granted to the Reporting Person on November 12, 2014, pursuant to a stock option termination agreement providing that such option would be surrendered and returned to the Issuer for cancellation without any understanding or expectation regarding future grant of any option or other form of equity or non-equity compensation by the Issuer.
- F2The canceled option provided for vesting of 1/48th of the shares subject to the option vested on 12/12/2014, and thereafter 1/48th of the shares vested monthly, subject to the Reporting Person's continued service to the Issuer through each vesting date.
- F3The canceled option provided for vesting subject to performance conditions that provided that upon Issuer's achievement of pre-established valuations, 154,014 and 231,021 shares respectively, would vest monthly over two years at a rate of 1/24th per month, subject to Reporting Person's continued service to the Issuer through each vesting date.