SEC Form 4 · accession 0000892482-18-000057
Qumu Corp · QUMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel R Fishback
Director
Period of report
May 9, 2018
Accepted (ET)
May 11, 2018 · 4:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000892482
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 9, 2018 | M | 25,000 | $0.00 | A | 25,000 | D | |
| Common Stock | May 9, 2018 | G | 25,000 | $0.00 | D | 0 | D | |
| Common StockF1 | May 9, 2018 | G | 25,000 | $0.00 | A | 66,560 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3,F4 | — | May 9, 2018 | M | 25,000 | D | — | — | Common Stock | 25,000 | 0 | D |
| Restricted Stock UnitsF2,F5,F4 | — | May 10, 2018 | A | 25,000 | A | — | — | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Fishback Family Revocable Trust, of which reporting person is the trustee.
- F2Each restricted stock units represents the contingent right to receive one share of Qumu common stock.
- F3The restricted stock units vested the first business day prior to the 2018 Annual Meeting of Shareholders provided the director continued to provide services to Qumu on that date, subject to certain exceptions.
- F4The reporting person has elected not to defer the delivery of any shares in this grant. All shares not deferred will be paid within 90 days following the date of the restricted stock unit's first vest.
- F5The restricted stock units vest on the first business day prior to the 2019 Annual Meeting of Shareholders, provided the director continues to provide services to Qumu on that date, subject to certain exceptions.