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Home > Insider Trading > Filing (0001209191-16-144852)

Filing Details

Accession Number:
0001209191-16-144852
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-05 16:01:34
Reporting Period:
2016-10-03
Filing Date:
2016-10-05
Accepted Time:
2016-10-05 16:01:34
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1449278 Tubemogul Inc TUBE () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1433196 Foundation Capital Vi Lp 250 Middlefield Road
Menlo Park CA 94025		 No No Yes No
1451964 Foundation Capital Vi Principals Fund, Llc 250 Middlefield Road
Menlo Park CA 94025		 No No Yes No
1451965 Foundation Capital Management Co. Vi, Llc 250 Middlefield Road
Menlo Park CA 94025		 No No Yes No
1567929 Steven Vassallo 250 Middlefield Road
Menlo Park CA 94025		 No No Yes No
1615420 Foundation Capital, Llc 250 Middlefield Road
Menlo Park CA 94025		 No No Yes No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2016-10-03 390,000 $0.00 5,848,097 No 4 J Indirect By Foundation Capital VI, L.P.
Common Stock Acquisiton 2016-10-03 100,425 $0.00 100,425 No 4 J Indirect By Foundation Capital Management Co. VI, L.L.C.
Common Stock Disposition 2016-10-03 100,425 $0.00 0 No 4 J Indirect By Foundation Capital Management Co. VI, L.L.C.
Common Stock Disposition 2016-10-03 41,366 $0.00 0 No 4 J Indirect By: Foundation Capital VI Principals Fund, LLC
Common Stock Acquisiton 2016-10-03 268 $0.00 268 No 4 J Indirect By Foundation Capital, LLC
Common Stock Acquisiton 2016-10-03 8,800 $0.00 27,883 No 4 J Indirect By Holland/Yates Family Trust dtd 7/23/1999
Common Stock Acquisiton 2016-10-03 1,234 $0.00 29,117 No 4 J Indirect By Holland/Yates Family Trust dtd 7/23/1999
Common Stock Acquisiton 2016-10-03 2,972 $0.00 4,435 No 4 J Indirect By The Holland Childrens Trust
Common Stock Acquisiton 2016-10-03 2,370 $0.00 7,110 No 4 J Indirect By Koontz Revocable Trust U/A/D 6/29/1998
Common Stock Acquisiton 2016-10-03 4,163 $0.00 13,671 No 4 J Indirect By Michael N. & Mary G. Schuh 1990 Family Trust
Common Stock Acquisiton 2016-10-03 1,234 $0.00 14,905 No 4 J Indirect By Michael N. & Mary G. Schuh 1990 Family Trust
Common Stock Acquisiton 2016-09-29 9,072 $0.00 9,072 No 4 G Indirect By William B. Elmore Gift Fund
Common Stock Acquisiton 2016-10-03 9,119 $0.00 13,749 No 4 J Indirect By William B. Elmore Revocable Trust
Common Stock Acquisiton 2016-10-03 12,345 $0.00 24,690 No 4 J Indirect By Elmore Family Investments B, LP
Common Stock Acquisiton 2016-10-03 10,544 $0.00 10,544 No 4 J Indirect By The Warren M. Weiss Trust UA dated 7/20/2005
Common Stock Acquisiton 2016-10-03 2,469 $0.00 13,013 No 4 J Indirect By The Warren M. Weiss Trust UA dated 7/20/2005
Common Stock Acquisiton 2016-10-03 1,959 $0.00 1,959 No 4 J Indirect By ALLY L. WEISS GST EXEMPT TRUST
Common Stock Acquisiton 2016-10-03 1,959 $0.00 1,959 No 4 J Indirect By SHANE T. WEISS GST EXEMPT TRUST
Common Stock Acquisiton 2016-10-03 12,487 $0.00 16,927 No 4 J Indirect By Moldow Family Trust dated 11/11/2003
Common Stock Acquisiton 2016-10-03 741 $0.00 17,668 No 4 J Indirect By Moldow Family Trust dated 11/11/2003
Common Stock Acquisiton 2016-10-03 1,582 $0.00 1,582 No 4 J Indirect By The Moldow 2008 Children's Trust
Common Stock Acquisiton 2016-10-03 9,125 $0.00 20,275 No 4 J Indirect By Vassallo Family Revocable Trust dated 7/15/02
Common Stock Disposition 2016-10-04 13,013 $9.06 0 No 4 S Indirect By The Warren M. Weiss Trust UA dated 7/20/2005
Common Stock Disposition 2016-10-04 7,300 $9.07 12,975 No 4 S Indirect By Vassallo Family Revocable Trust dated 7/15/02
Common Stock Disposition 2016-10-04 1,959 $9.04 0 No 4 S Indirect By ALLY L. WEISS GST EXEMPT TRUST
Common Stock Disposition 2016-10-04 1,959 $9.04 0 No 4 S Indirect By SHANE T. WEISS GST EXEMPT TRUST
Common Stock Disposition 2016-10-04 1,582 $9.05 0 No 4 S Indirect By The Moldow 2008 Children's Trust
Common Stock Disposition 2016-10-04 13,228 $9.04 4,440 No 4 S Indirect By Moldow Family Trust dated 11/11/2003
Common Stock Disposition 2016-10-04 268 $9.14 0 No 4 S Indirect By Foundation Capital, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 J Indirect By 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: Foundation Capital VI Principals Fund, LLC
No 4 J Indirect By Foundation Capital, LLC
No 4 J Indirect By Holland/Yates Family Trust dtd 7/23/1999
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 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 Michael N. & Mary G. Schuh 1990 Family Trust
No 4 G Indirect By William B. Elmore Gift Fund
No 4 J Indirect By William B. Elmore Revocable Trust
No 4 J Indirect By Elmore Family Investments B, LP
No 4 J Indirect By The Warren M. Weiss Trust UA dated 7/20/2005
No 4 J Indirect By The 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 Moldow Family Trust dated 11/11/2003
No 4 J Indirect By Moldow Family Trust dated 11/11/2003
No 4 J Indirect By The Moldow 2008 Children's Trust
No 4 J Indirect By Vassallo Family Revocable Trust dated 7/15/02
No 4 S Indirect By The Warren M. Weiss Trust UA dated 7/20/2005
No 4 S Indirect By Vassallo Family Revocable Trust dated 7/15/02
No 4 S Indirect By ALLY L. WEISS GST EXEMPT TRUST
No 4 S Indirect By SHANE T. WEISS GST EXEMPT TRUST
No 4 S Indirect By The Moldow 2008 Children's Trust
No 4 S Indirect By Moldow Family Trust dated 11/11/2003
No 4 S Indirect By Foundation Capital, LLC
Footnotes
  1. 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 October 3, 2016 without consideration to its limited partners and its general partner, Foundation Capital Management Co. VI, L.L.C. Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
  2. Foundation Capital Management Co. VI, L.L.C. is the sole general partner of Foundation Capital VI, L.P. and the sole manager of 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, L.L.C., 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, L.L.C. disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.
  3. 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.
  4. Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital Management Co. VI, L.L.C. effected following the close of the trading market on October 3, 2016 without consideration to its members. Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
  5. Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital VI Principals Fund, LLC effected following the close of the trading market on October 3, 2016 without consideration to its members. Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
  6. Paul R. Holland, Warren M. Weiss, Charles Moldow and Steve Vassallo are managers of Foundation Capital, LLC. Foundation Capital, LLC is under common control with Foundation Capital Management Co. VI, L.L.C. 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.
  7. 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.
  8. 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.
  9. 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.
  10. 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
  11. On September 29, 2016, William B. Elmore, as trustee of the William B. Elmore Revocable Trust (the "Donor"), transferred by way of gift an aggregate of 9,072 shares of Common Stock of the Company registered in the name of the Donor to the William B. Elmore Gift Fund. The Donor received no consideration for this transfer and the transfer is a bona fide gift.
  12. 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.
  13. The shares are held by Elmore Family Investments B, LP (the "Elmore Partnership"). William B. Elmore is a general partner of the Elmore Partnership. The Reporting Person disclaims beneficial ownership of the shares held by the Elmore Partnership except to the extent of his proportionate pecuniary interest therein.
  14. 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.
  15. 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.
  16. 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.
  17. 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.
  18. 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.
  19. The shares are held by the Vassallo Family Revocable Trust dated 7/15/02 (the "Vassallo Trust"). Steve P. 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.
  20. Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
  21. Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.23 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  22. Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.84 to $9.25 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  23. Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.28 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  24. Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.25 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  25. Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.86 to $9.29 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  26. Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.81 to $9.29 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  27. On October 4, 2016, Foundation Capital, LLC sold 268 shares of stock pursuant to a 10b5-1 Plan dated May 18, 2016.
  28. All shares were sold at this price.
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