SEC Form 4 · accession 0000919574-18-007146
Qumu Corp · QUMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Raymond J Harbert
10% Owner
HARBERT MANAGEMENT CORP
10% Owner
HARBERT FUND ADVISORS, INC.
10% Owner
Harbert Discovery Fund, LP
Director · 10% Owner
John F. Bryant
10% Owner
Kenan Lucas
Director · 10% Owner
HARBERT DISCOVERY FUND GP, LLC
10% Owner
Period of report
Nov 8, 2018
Accepted (ET)
Nov 13, 2018 · 5:03 pm EST
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, $0.01 par valueF1 | Nov 8, 2018 | P | 8,928 | $2.4361 | A | 1,229,257 | D | |
| Common Stock, $0.01 par valueF1 | Nov 9, 2018 | P | 38,265 | $2.5413 | A | 1,267,522 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities are held in the account of Harbert Discovery Fund, LP (the "Fund") and may be deemed to be beneficially owned by (i) Harbert Discovery Fund GP, LLC (the "Fund GP"), the general partner of the Fund, (ii) Harbert Fund Advisors, Inc., the investment adviser to the Fund, (iii) Harbert Management Corporation ("HMC"), the managing member of the Fund GP, (iv) Jack Bryant, a director and co-portfolio manager of the Fund GP, (v) Kenan Lucas, a director and co-portfolio manager of the Fund GP and a director of the Issuer and (vi) Raymond Harbert, the controlling shareholder, Chairman and Chief Executive Officer of HMC.
Remarks
Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.