SEC Form 4 · accession 0000921895-17-001884
Qumu Corp · QUMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald T Netter
Director
Period of report
Jun 29, 2017
Accepted (ET)
Jul 6, 2017 · 7:14 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 StockF2 | Jun 29, 2017 | J | 20,000 | $0.00 | D | 0 | D | |
| Common StockF2,F1 | Jun 29, 2017 | J | 20,000 | $0.00 | A | 580,500 | I | By: Dolphin Limited Partnership III, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Securities are owned directly by Dolphin Limited Partnership III, L.P. ("Dolphin III"). Mr. Netter, solely by virtue of his position as the Senior Managing Director of Dolphin Holdings Corp. III, the managing member of Dolphin Associates III, LLC, the general partner of Dolphin III, may be deemed to beneficially own the securities owned directly by Dolphin III for purposes of Section 16. Mr. Netter expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- F2Mr. Netter transferred the 20,000 shares received upon vesting of restricted stock units to Dolphin III for no consideration pursuant to an agreement with Dolphin III