SEC Form 4 · accession 0001612895-16-000009
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith Eadie
Officer — Chief Strategy Officer
Period of report
Oct 14, 2016
Accepted (ET)
Oct 18, 2016 · 8:48 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 | Oct 14, 2016 | M | 5,000 | $0.60 | A | 57,066 | D | |
| Common StockF3,F1 | Oct 14, 2016 | S | 9,240 | $8.2966 | D | 47,826 | 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)F4 | $0.60 | Oct 14, 2016 | M | 5,000 | D | — | Oct 12, 2020 | Common Stock | 5,000 | 20,000 | D |
Explanation of responses
- F1Of the reported shares, 47,555 shares are represented by RSUs.
- F2The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 14, 2016.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.18 to $8.35 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.
- F4Option was granted on 10/12/2010, is fully vested and immediately exercisable.