SEC Form 4 · accession 0001209191-17-051476
Trade Desk, Inc. · TTD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Ross
Officer — Chief Financial Officer
Period of report
Sep 5, 2017
Accepted (ET)
Sep 5, 2017 · 9:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001671933
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 5, 2017 | C | 2,778 | $0.00 | A | 45,597 | D | |
| Class A Common StockF1 | Sep 5, 2017 | C | 686 | $0.00 | A | 46,283 | 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)F2 | $0.819 | Sep 5, 2017 | M | 2,778 | D | — | Jan 19, 2025 | Class B Common Stock | 2,778 | 38,889 | D |
| Class B Common StockF1 | $0.00 | Sep 5, 2017 | M | 2,778 | A | — | — | Class A Common Stock | 2,778 | 2,778 | D |
| Class B Common StockF1 | $0.00 | Sep 5, 2017 | C | 2,778 | D | — | — | Class A Common Stock | 2,778 | 0 | D |
| Employee Stock Option Exercise (Right to Buy)F3 | $0.819 | Sep 5, 2017 | M | 686 | D | — | Jan 19, 2025 | Class B Common Stock | 686 | 11,659 | D |
| Class B Common StockF1 | $0.00 | Sep 5, 2017 | M | 686 | A | — | — | Class A Common Stock | 686 | 686 | D |
| Class B Common StockF1 | $0.00 | Sep 5, 2017 | C | 686 | D | — | — | Class A Common Stock | 686 | 0 | D |
Explanation of responses
- F1Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time and upon certain other circumstances.
- F2The Option was granted on January 20, 2015, with a vesting commencement date ("VCD") of November 3, 2014. One-fourth (1/4th) of the shares subject to the option vest on the first anniversary of the VCD, with one forty-eighth (1/48th) of the shares subject to the original grant vesting on each monthly anniversary thereafter, subject to continued employment with the Issuer through the applicable vesting dates.
- F3The option was granted on January 20, 2015, the vesting commencement date ("VCD"). One forty-eighth (1/48th) of the shares subject to the option vest on the first monthly anniversary of the VCD, with one forty-eighth (1/48th) of the shares subject to the original grant vesting on each monthly anniversary thereafter, subject to continued employment with the Issuer through the applicable vesting dates.