SEC Form 4 · accession 0001615594-17-000014
Qumu Corp · QUMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter J Goepfrich
Officer — Chief Financial Officer
Period of report
Mar 8, 2017
Accepted (ET)
Mar 10, 2017 · 4:28 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 StockF2 | Mar 8, 2017 | A | 25,000 | $0.00 | A | 25,000 | D | |
| Common StockF1 | holding | — | — | — | 13,050 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right-to-Buy)F3 | $1.90 | Mar 8, 2017 | A | 50,000 | A | Mar 8, 2018 | Mar 8, 2024 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Held by The Rebecca Braun Revocable Trust dated July 28, 2014 of which reporting person and his spouse are trustees.
- F2Restricted Stock vests as to 25% on each of the first four anniversaries of the date of grant.
- F3Option vests as to 25% on each of the first four anniversaries of the date of grant.