LUCAS KENAN 4

4 · Qumu Corp · Filed Oct 1, 2020

Form 4

Period: 2020-09-29

10% Owner

Transactions

Exercise/Conversion
Common Stock, $0.01 par value
2020-09-29+18,099→ 43,099 total(indirect: See Footnote)
Award
Restricted Stock Units
2020-09-30+17,353→ 17,353 total(indirect: See Footnote)
→ Common Stock (17,353 underlying)
Exercise/Conversion
Restricted Stock Units
2020-09-29−18,099→ 0 total(indirect: See Footnote)
→ Common Stock (18,099 underlying)

Holdings

Footnotes (8)

[F1]These shares are held in an affiliated brokerage account for the benefit of the investors of Harbert Discovery Fund, LP (the "Fund").
[F2]These shares are held by the Fund. Mr. Lucas may be deemed to beneficially own these shares through his role as the managing director and portfolio manager of the Fund's general partner.
[F3]Each restricted stock unit represents the contingent right to receive one share of Qumu common stock.
[F4]The restricted stock units vested on September 29, 2020 which was the first business day prior to the 2020 Annual Meeting of Shareholders.
[F5]The Reporting Person has elected not to defer the delivery of any shares in this grant. All shares not deferred will be paid within 90 days following September 29, 2020.
[F6]The restricted stock units are held for the benefit of the investors of the Fund.
[F7]The restricted stock units vest on the first business day prior to the 2021 Annual Meeting of Shareholders, provided the Reporting Person continues to provide services to Qumu as a director on that date, subject to certain exceptions.
[F8]The Reporting Person has elected not to defer the delivery of any shares in this grant. All shares not deferred will be paid within 90 days following the date the restricted stock unit's first vest.

Documents

1 file