Filing Details
- Accession Number:
- 0001209191-16-122993
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-05-24 17:32:51
- Reporting Period:
- 2016-05-23
- Filing Date:
- 2016-05-24
- Accepted Time:
- 2016-05-24 17:32:51
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1449278 | Tubemogul Inc | TUBE | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1078748 | B William Elmore | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | No | |
1205496 | G Paul Koontz | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | No | |
1205498 | N Michael Schuh | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | No | |
1205501 | R Paul Holland | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | No | |
1399347 | M Warren Weiss | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | No | |
1452009 | Charles Moldow | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | No | |
1567929 | Steven Vassallo | C/O Foundation Capital 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2016-05-23 | 390,000 | $0.00 | 6,628,097 | No | 4 | J | Indirect | Foundation Capital VI, L.P. |
Common Stock | Acquisiton | 2016-05-23 | 100,425 | $0.00 | 100,425 | No | 4 | J | Indirect | By Foundation Capital Management Co. VI, L.L.C. |
Common Stock | Disposition | 2016-05-23 | 100,425 | $0.00 | 0 | No | 4 | J | Indirect | By Foundation Capital Management Co. VI, L.L.C. |
Common Stock | Acquisiton | 2016-05-23 | 9,261 | $0.00 | 9,261 | No | 4 | J | Indirect | By William B Elmore Revocable Trust |
Common Stock | Acquisiton | 2016-05-23 | 9,055 | $0.00 | 9,055 | No | 4 | J | Indirect | By Holland/Yates Family Trust dtd 7/23/1999 |
Common Stock | Acquisiton | 2016-05-23 | 1,509 | $0.00 | 1,509 | No | 4 | J | Indirect | By The Holland Childrens Trust |
Common Stock | Acquisiton | 2016-05-23 | 10,455 | $0.00 | 10,455 | No | 4 | J | Indirect | By Moldow Family Trust dated 11/11/2003 |
Common Stock | Acquisiton | 2016-05-23 | 1,328 | $0.00 | 1,328 | No | 4 | J | Indirect | By The Moldow 2008 Childrens Trust |
Common Stock | Acquisiton | 2016-05-23 | 9,331 | $0.00 | 9,331 | No | 4 | J | Indirect | By Vassallo Family Revocable Trust dated 7/15/02 |
Common Stock | Acquisiton | 2016-05-23 | 11,291 | $0.00 | 11,291 | No | 4 | J | Indirect | By Warren M. Weiss Trust UA dated 7/20/2005 |
Common Stock | Acquisiton | 2016-05-23 | 2,104 | $0.00 | 2,104 | No | 4 | J | Indirect | By Ally L. Weiss GST Exempt Trust |
Common Stock | Acquisiton | 2016-05-23 | 2,104 | $0.00 | 2,104 | No | 4 | J | Indirect | By Shane T. Weiss GST Exempt Trust |
Common Stock | Acquisiton | 2016-05-23 | 2,370 | $0.00 | 2,370 | No | 4 | J | Indirect | By Koontz Revocable Trust U/A/D 6/29/1998 |
Common Stock | Acquisiton | 2016-05-23 | 4,111 | $0.00 | 4,111 | No | 4 | J | Indirect | By Michael N. & Mary G. Schuh 1990 Family Trust |
Common Stock | Acquisiton | 2016-05-23 | 268 | $0.00 | 268 | No | 4 | J | Indirect | By Foundation Capital, LLC |
Common Stock | Disposition | 2016-05-24 | 268 | $12.56 | 0 | No | 4 | S | Indirect | By Foundation Capital, LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | J | Indirect | Foundation Capital VI, L.P. |
No | 4 | J | Indirect | By Foundation Capital Management Co. VI, L.L.C. |
No | 4 | J | Indirect | By Foundation Capital Management Co. VI, L.L.C. |
No | 4 | J | Indirect | By William B Elmore Revocable Trust |
No | 4 | J | Indirect | By Holland/Yates Family Trust dtd 7/23/1999 |
No | 4 | J | Indirect | By The Holland Childrens Trust |
No | 4 | J | Indirect | By Moldow Family Trust dated 11/11/2003 |
No | 4 | J | Indirect | By The Moldow 2008 Childrens Trust |
No | 4 | J | Indirect | By Vassallo Family Revocable Trust dated 7/15/02 |
No | 4 | J | Indirect | By Warren M. Weiss Trust UA dated 7/20/2005 |
No | 4 | J | Indirect | By Ally L. Weiss GST Exempt Trust |
No | 4 | J | Indirect | By Shane T. Weiss GST Exempt Trust |
No | 4 | J | Indirect | By Koontz Revocable Trust U/A/D 6/29/1998 |
No | 4 | J | Indirect | By Michael N. & Mary G. Schuh 1990 Family Trust |
No | 4 | J | Indirect | By Foundation Capital, LLC |
No | 4 | S | Indirect | By Foundation Capital, LLC |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 82,732 | Indirect | Foundation Capital VI Principals Fund, LLC |
Footnotes
- Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital VI, L.P. effected following the close of the trading market on May 23, 2016 without consideration to its limited partners and its general partner, Foundation Capital Management Co. VI, L.L.C.
- Foundation Capital Management Co. VI, LLC is the sole manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B.Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of Foundation Capital Management Co. VI, LLC, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. VI, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.
- Represents a change in the form of ownership from indirect to direct by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital VI, L.P. described in footnote 1 above.
- Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital Management Co. VI, LLC effected following the close of the trading market on May 23, 2016 without consideration to its members.
- The shares are held by the William B. Elmore Revocable Trust (the "Elmore Trust"). William B. Elmore is a trustee of the Elmore Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Elmore Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by the Holland/Yates Family Trust dtd 7/23/1999 (the "Holland Family Trust"). Paul R. Holland is a trustee of the Holland Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Holland Family Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by The Holland Children's Trust (the "Holland Children's Trust"). Paul R. Holland is a trustee of the Holland Children's Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Holland Children's Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by the Moldow Family Trust dated 11/11/2003 (the "Moldow Family Trust"). Charles Moldow is a trustee of the Moldow Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Moldow Family Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by The Moldow 2008 Children's Trust (the "Moldow Children's Trust"). Charles Moldow is a trustee of the Moldow Children's Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Moldow Children's Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by the Vassallo Family Revocable Trust dated 7/15/02 (the "Vassallo Trust"). Steve Vassallo is a trustee of the Vassallo Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Vassallo Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by The Warren M. Weiss Trust UA dated 7/20/2005 (the "Weiss Trust"). Warren M. Weiss is a trustee of the Weiss Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Weiss Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by the ALLY L. WEISS GST EXEMPT TRUST (the "ALLY Trust"), a trust controlled by or for the benefit of one or more of Warren M. Weiss' family members. The Reporting Person disclaims beneficial ownership of the shares held by the ALLY Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by the SHANE T. WEISS GST EXEMPT TRUST (the "SHANE Trust"), a trust controlled by or for the benefit of one or more of Warren M. Weiss' family members. The Reporting Person disclaims beneficial ownership of the shares held by the SHANE Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by the Koontz Revocable Trust U/A/D 6/29/1998 (the "Koontz Trust"). Paul G. Koontz is a trustee of the Koontz Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Koontz Trust except to the extent of his proportionate pecuniary interest therein.
- The shares are held by the Michael N. & Mary G. Schuh 1990 Family Trust (the "Schuh Trust"). Michael N. Schuh is a trustee of the Schuh Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Schuh Trust except to the extent of his proportionate pecuniary interest therein.
- Paul R. Holland, Warren M. Weiss, Charles Moldow, Steve Vassallo and Ashu Garg are managers of Foundation Capital, LLC. Foundation Capital, LLC is under common control with Foundation Capital Management Co. VI, LLC. As such, each of the managers may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managers disclaim beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.
- On 5/24/2016, Foundation Capital, LLC sold 268 shares of stock.