SEC Form 4/A · accession 0001613754-16-000011
TUBEMOGUL INC · TUBE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David Toth
Director
Period of report
Jun 16, 2016
Accepted (ET)
Nov 14, 2016 · 8:53 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,F2,F3 | Jun 16, 2016 | A | 8,069 | $0.00 | A | 147,958 | D | |
| Common StockF5,F2,F3 | Jun 16, 2016 | S | 4,000 | $12.1761 | D | 143,958 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each share of common stock is represented by a Restricted Stock Unit ("RSU"). One - hundred percent (100%) of the shares subject to the RSU vest upon the earlier of (i) the day prior the next years annual meeting of stockholders, or (ii) one year from the date of grant, subject to continued service as a director through the applicable vesting date.
- F2Of the reported shares, 9,631 shares are represented by RSUs.
- F3The original form 4 filed on June 17, 2016 is amended by this Form 4 amendment to correctly reflect the Reporting Person's ownership of common stock. No other changes have been made to the original Form 4.
- F4The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 18 2015.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.09 to $12.28 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.