4//SEC Filing
HARBERT FUND ADVISORS, INC. 4
Accession 0000919574-21-005215
CIK 0000892482other
Filed
Aug 12, 8:00 PM ET
Accepted
Aug 13, 6:56 PM ET
Size
16.8 KB
Accession
0000919574-21-005215
Insider Transaction Report
Form 4
Qumu CorpQUMU
HARBERT DISCOVERY FUND GP, LLC
10% Owner
Transactions
- Purchase
Common Stock, $0.01 par value
2021-08-13$2.48/sh+87,885$217,849→ 1,738,884 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-12$2.50/sh+65,378$163,458→ 1,650,999 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-11$2.44/sh+175,000$427,823→ 1,585,621 total(indirect: See footnote)
HARBERT FUND ADVISORS, INC.
10% Owner
Transactions
- Purchase
Common Stock, $0.01 par value
2021-08-13$2.48/sh+87,885$217,849→ 1,738,884 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-11$2.44/sh+175,000$427,823→ 1,585,621 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-12$2.50/sh+65,378$163,458→ 1,650,999 total(indirect: See footnote)
HARBERT MANAGEMENT CORP
10% Owner
Transactions
- Purchase
Common Stock, $0.01 par value
2021-08-13$2.48/sh+87,885$217,849→ 1,738,884 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-12$2.50/sh+65,378$163,458→ 1,650,999 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-11$2.44/sh+175,000$427,823→ 1,585,621 total(indirect: See footnote)
LUCAS KENAN
10% Owner
Transactions
- Purchase
Common Stock, $0.01 par value
2021-08-11$2.44/sh+175,000$427,823→ 1,585,621 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-13$2.48/sh+87,885$217,849→ 1,738,884 total(indirect: See footnote) - Purchase
Common Stock, $0.01 par value
2021-08-12$2.50/sh+65,378$163,458→ 1,650,999 total(indirect: See footnote)
Footnotes (5)
- [F1]The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices within the range from $2.36 to $2.4801 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price.
- [F2]The amount of securities beneficially owned following reported transactions (the "Reported Shares") includes 43,099 shares of common stock received by Kenan Lucas in lieu of a portion of his annual board compensation. These 43,099 shares were assigned to Harbert Fund Advisors, Inc. ("HFA"), and are held in an affiliated brokerage account for the benefit of the investors of Harbert Discovery Fund, LP (the "Fund").
- [F3]The Reported Shares (other than the 43,099 shares referenced in footnote (2)) are held in the account of the Fund and may be deemed to be beneficially owned by (i) Harbert Discovery Fund GP, LLC (the "Fund GP"), the general partner of the Fund, (ii) HFA, the investment adviser to the Fund, (iii) Harbert Management Corporation ("HMC"), the managing member of the Fund GP and (iv) Kenan Lucas, the managing director and portfolio manager of the Fund GP and a director of the Issuer.
- [F4]The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices within the range from $2.43 to $2.55 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price.
- [F5]The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices within the range from $2.41 to $2.54 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price.
Documents
Issuer
Qumu Corp
CIK 0000892482
Entity typeother
IncorporatedAL
Related Parties
1- filerCIK 0001616659
Filing Metadata
- Form type
- 4
- Filed
- Aug 12, 8:00 PM ET
- Accepted
- Aug 13, 6:56 PM ET
- Size
- 16.8 KB