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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Tubemogul, Inc. | NASDAQ:TUBE | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 14.00 | 13.99 | 14.02 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Foundation Capital Management Co. VI, LLC |
2. Issuer Name
and
Ticker or Trading Symbol
TUBEMOGUL INC [ TUBE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
250 MIDDLEFIELD ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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MENLO PARK, CA 94025 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/3/2016 | J (1) | 390000 | D | $0.00 | 5848097 | I | By Foundation Capital VI, L.P. (2) | ||
Common Stock | 10/3/2016 | J (3) | 100425 | A | $0.00 | 100425 | I | By Foundation Capital Management Co. VI, L.L.C. (2) | ||
Common Stock | 10/3/2016 | J (4) | 100425 | D | $0.00 | 0 | I | By Foundation Capital Management Co. VI, L.L.C. (2) | ||
Common Stock | 10/3/2016 | J (5) | 41366 | D | $0.00 | 0 | I | By: Foundation Capital VI Principals Fund, LLC (2) | ||
Common Stock | 10/3/2016 | J (4) | 268 | A | $0.00 | 268 | I | By Foundation Capital, LLC (6) | ||
Common Stock | 10/3/2016 | J (4) | 8800 | A | $0.00 | 27883 | I | By Holland/Yates Family Trust dtd 7/23/1999 (7) | ||
Common Stock | 10/3/2016 | J (5) | 1234 | A | $0.00 | 29117 | I | By Holland/Yates Family Trust dtd 7/23/1999 (7) | ||
Common Stock | 10/3/2016 | J (4) | 2972 | A | $0.00 | 4435 | I | By The Holland Childrens Trust (8) | ||
Common Stock | 10/3/2016 | J (4) | 2370 | A | $0.00 | 7110 | I | By Koontz Revocable Trust U/A/D 6/29/1998 (9) | ||
Common Stock | 10/3/2016 | J (4) | 4163 | A | $0.00 | 13671 | I | By Michael N. & Mary G. Schuh 1990 Family Trust (10) | ||
Common Stock | 10/3/2016 | J (5) | 1234 | A | $0.00 | 14905 | I | By Michael N. & Mary G. Schuh 1990 Family Trust (10) | ||
Common Stock | 9/29/2016 | G (11) | 9072 | A | $0.00 | 9072 | I | By William B. Elmore Gift Fund | ||
Common Stock | 10/3/2016 | J (4) | 9119 | A | $0.00 | 13749 | I | By William B. Elmore Revocable Trust (12) | ||
Common Stock | 10/3/2016 | J (5) | 12345 | A | $0.00 | 24690 | I | By Elmore Family Investments B, LP (13) | ||
Common Stock | 10/3/2016 | J (4) | 10544 | A | $0.00 | 10544 | I | By The Warren M. Weiss Trust UA dated 7/20/2005 (14) | ||
Common Stock | 10/3/2016 | J (5) | 2469 | A | $0.00 | 13013 | I | By The Warren M. Weiss Trust UA dated 7/20/2005 (14) | ||
Common Stock | 10/3/2016 | J (4) | 1959 | A | $0.00 | 1959 | I | By ALLY L. WEISS GST EXEMPT TRUST (15) | ||
Common Stock | 10/3/2016 | J (4) | 1959 | A | $0.00 | 1959 | I | By SHANE T. WEISS GST EXEMPT TRUST (16) | ||
Common Stock | 10/3/2016 | J (4) | 12487 | A | $0.00 | 16927 | I | By Moldow Family Trust dated 11/11/2003 (17) | ||
Common Stock | 10/3/2016 | J (5) | 741 | A | $0.00 | 17668 | I | By Moldow Family Trust dated 11/11/2003 (17) | ||
Common Stock | 10/3/2016 | J (4) | 1582 | A | $0.00 | 1582 | I | By The Moldow 2008 Children's Trust (18) | ||
Common Stock | 10/3/2016 | J (4) | 9125 | A | $0.00 | 20275 | I | By Vassallo Family Revocable Trust dated 7/15/02 (19) | ||
Common Stock | 10/4/2016 | S (20) | 13013 | D | $9.06 (21) | 0 | I | By The Warren M. Weiss Trust UA dated 7/20/2005 (14) | ||
Common Stock | 10/4/2016 | S (20) | 7300 | D | $9.07 (22) | 12975 | I | By Vassallo Family Revocable Trust dated 7/15/02 (19) | ||
Common Stock | 10/4/2016 | S (20) | 1959 | D | $9.04 (23) | 0 | I | By ALLY L. WEISS GST EXEMPT TRUST (15) | ||
Common Stock | 10/4/2016 | S (20) | 1959 | D | $9.04 (24) | 0 | I | By SHANE T. WEISS GST EXEMPT TRUST (16) | ||
Common Stock | 10/4/2016 | S (20) | 1582 | D | $9.05 (25) | 0 | I | By The Moldow 2008 Children's Trust (18) | ||
Common Stock | 10/4/2016 | S (20) | 13228 | D | $9.04 (26) | 4440 | I | By Moldow Family Trust dated 11/11/2003 (17) | ||
Common Stock | 10/4/2016 | S (27) | 268 | D | $9.14 (28) | 0 | I | By Foundation Capital, LLC (6) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Remarks:
Filing 1 of 2: see Form 4 for Foundation Capital Management Co. VI, L.L.C. for additional members of this joint filing. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Foundation Capital Management Co. VI, LLC
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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FOUNDATION CAPITAL VI LP
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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Foundation Capital VI Principals Fund, LLC
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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Foundation Capital, LLC
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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HOLLAND PAUL R
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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KOONTZ PAUL G
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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SCHUH MICHAEL N
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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ELMORE WILLIAM B
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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Weiss Warren M
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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Moldow Charles
250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
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X |
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Signatures
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/s/ David A. Singer as Attorney-In-Fact for Foundation Capital Management Co. VI, L.L.C. | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-In-Fact for Foundation Capital VI, L.P. | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for Foundation Capital VI Principals Fund, L.L.C. | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for Foundation Capital, LLC | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for Paul R. Holland | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for Paul G. Koontz | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for Michael N. Schuh | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for William B. Elmore | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for Warren M. Weiss | 10/4/2016 | |
** Signature of Reporting Person |
Date
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/s/ David A. Singer as Attorney-in-Fact for Charles Moldow | 10/4/2016 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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