Filing Details
- Accession Number:
- 0001181431-14-027384
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-25 12:26:20
- Reporting Period:
- 2014-07-23
- Filing Date:
- 2014-07-25
- Accepted Time:
- 2014-07-25 12:26:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1449278 | Tubemogul Inc | TUBE | Services-Prepackaged Software (7372) | 510633881 |
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 | Yes | |
| 1451964 | Foundation Capital Vi Principals Fund, Llc | 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | Yes | |
| 1451965 | Foundation Capital Management Co. Vi, Llc | 250 Middlefield Road Menlo Park CA 94025 | No | No | Yes | Yes |
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 | Acquisiton | 2014-07-23 | 83,537 | $0.00 | 383,867 | No | 4 | C | Indirect | Foundation Capital VI, L.P. |
| Common Stock | Acquisiton | 2014-07-23 | 3,768,399 | $0.00 | 4,152,266 | No | 4 | C | Indirect | Foundation Capital VI, L.P. |
| Common Stock | Acquisiton | 2014-07-23 | 820,260 | $0.00 | 4,972,526 | No | 4 | C | Indirect | Foundation Capital VI, L.P. |
| Common Stock | Acquisiton | 2014-07-23 | 2,825,571 | $7.00 | 7,798,097 | No | 4 | P | Indirect | Foundation Capital VI, L.P. |
| Common Stock | Acquisiton | 2014-07-23 | 934 | $0.00 | 4,290 | No | 4 | C | Indirect | Foundation Capital VI Principals Fund, LLC |
| Common Stock | Acquisiton | 2014-07-23 | 42,106 | $0.00 | 46,396 | No | 4 | C | Indirect | Foundation Capital VI Principals Fund, LLC |
| Common Stock | Acquisiton | 2014-07-23 | 9,165 | $0.00 | 55,561 | No | 4 | C | Indirect | Foundation Capital VI Principals Fund, LLC |
| Common Stock | Acquisiton | 2014-07-23 | 31,571 | $7.00 | 87,132 | No | 4 | P | Indirect | Foundation Capital VI Principals Fund, LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Foundation Capital VI, L.P. |
| No | 4 | C | Indirect | Foundation Capital VI, L.P. |
| No | 4 | C | Indirect | Foundation Capital VI, L.P. |
| No | 4 | P | Indirect | Foundation Capital VI, L.P. |
| No | 4 | C | Indirect | Foundation Capital VI Principals Fund, LLC |
| No | 4 | C | Indirect | Foundation Capital VI Principals Fund, LLC |
| No | 4 | C | Indirect | Foundation Capital VI Principals Fund, LLC |
| No | 4 | P | Indirect | Foundation Capital VI Principals Fund, LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock (Convertible) | Disposition | 2014-07-23 | 83,537 | $0.00 | 83,537 | $0.00 |
| Common Stock | Series A Preferred Stock (Convertible) | Disposition | 2014-07-23 | 934 | $0.00 | 934 | $0.00 |
| Common Stock | Series B Preferred Stock (Convertible) | Disposition | 2014-07-23 | 3,768,399 | $0.00 | 3,768,399 | $0.00 |
| Common Stock | Series B Preferred Stock (Convertible) | Disposition | 2014-07-23 | 42,106 | $0.00 | 42,106 | $0.00 |
| Common Stock | Series C Preferred Stock (Convertible) | Disposition | 2014-07-23 | 820,260 | $0.00 | 820,260 | $0.00 |
| Common Stock | Series C Preferred Stock (Convertible) | Disposition | 2014-07-23 | 9,165 | $0.00 | 9,165 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 300,330 | Indirect | Foundation Capital VI, L.P. |
| Common Stock | 3,356 | Indirect | Foundation Capital VI Principals Fund, LLC |
Footnotes
- Each share of Issuer's Preferred Stock automatically converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering and has no expiration date.
- 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, Richard A. Redelfs, 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.
Billionaire Hedge Funds
