SEC Form 4 · accession 0001612886-15-000015
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul K Joachim
Officer — Chief Financial Officer
Period of report
Aug 4, 2015
Accepted (ET)
Aug 5, 2015 · 9:39 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 4, 2015 | M | 2,750 | $0.70 | A | 26,083 | D | |
| Common StockF1 | Aug 4, 2015 | S | 2,750 | $13.85 | D | 23,333 | D |
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)F3 | $0.70 | Aug 4, 2015 | M | 2,750 | A | — | Apr 19, 2022 | Common Stock | 2,750 | 280,750 | D |
Explanation of responses
- F1Of the reported shares, 16,875 shares are represented by RSUs.
- F2The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 13, 2015.
- F3Subject to the Reporting Person's continued service to the Issuer, 25% of the shares subject to the option vested on 2/22/2013, and thereafter 1/48th of the shares vest monthly.