SEC Form 4 · accession 0000899243-17-007315
Trade Desk, Inc. · TTD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 26, 2016
Accepted (ET)
Mar 13, 2017 · 5:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001671933
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF3,F1 | — | Sep 26, 2016 | C | 6,993,000 | D | — | — | Class B Common Stock | 2,331,000 | 0 | I |
| Class B Common StockF3,F2 | — | Sep 26, 2016 | C | 2,331,000 | A | — | — | Class A Common Stock | 2,331,000 | 2,331,000 | I |
Explanation of responses
- F1Each share of Series B Preferred Stock outstanding had no expiration date and automatically converted into one-third of a share of Class B Common Stock of the Issuer immediately prior to the closing of the Issuer's initial public offering.
- F2Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one share of Class A Common Stock at the option of the holder thereof at any time. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain permitted transfers described in, and transfers to any "permitted transferee" as defined in, the Issuer's Amended and Restated Certificate of Incorporation in effect as of the date hereof.
- F3Represents shares held of record by Highwind S.a r.l. Highwind S.a r.l is controlled by Canepa TMT Global Fund CLP-SIF, which is managed by Canepa TMT Global Partners CLP, its general partner. Canepa TMT Global Partners CLP is managed by Bertrand Party, Francisco Felix Rodriguez, Richard van't Hof and Jose Vicini, each of whom disclaims beneficial ownership of the shares held of record by Highwind S.a r.l except to the extent of his respective pecuniary interest therein.
Remarks
Highwind S.a r.l has filed a separate Form 4.