TUBEMOGUL INC 4
4 · TUBEMOGUL INC · Filed Jul 25, 2014
Insider Transaction Report
Form 4
TUBEMOGUL INCTUBE
Labatt Nina C.
10% Owner
Transactions
- Conversion
Common Stock
2014-07-23+3,378,826→ 3,837,041 total(indirect: By Trinity Ventures X, L.P.) - Conversion
Common Stock
2014-07-23+840,571→ 5,793,358 total(indirect: By Trinity Ventures X, L.P.) - Conversion
Common Stock
2014-07-23+930→ 4,214 total(indirect: By Trinity X Entrepreneurs' Fund, L.P.) - Conversion
Common Stock
2014-07-23+30,867→ 35,081 total(indirect: By Trinity X Enterpreneurs Fund, L.P.) - Conversion
Common Stock
2014-07-23+11,102→ 46,183 total(indirect: By Trinity X Enterpreneurs Fund, L.P.) - Conversion
Common Stock
2014-07-23+7,783→ 53,966 total(indirect: By Trinity X Enterpreneurs Fund, L.P.) - Conversion
Common Stock
2014-07-23+8,836→ 62,802 total(indirect: By Trinity X Enterpreneurs Fund, L.P.) - Conversion
Common Stock
2014-07-23+565→ 2,325 total(indirect: By Trinity X Side-By-Side Fund, L.P.) - Conversion
Common Stock
2014-07-23+99,646→ 458,215 total(indirect: By Trinity Ventures X, L.P.) - Conversion
Common Stock
2014-07-23+1,115,746→ 4,952,787 total(indirect: By Trinity Ventures X, L.P.) - Conversion
Common Stock
2014-07-23+701,085→ 6,494,443 total(indirect: By Trinity Ventures X, L.P.) - Conversion
Common Stock
2014-07-23+19,892→ 22,217 total(indirect: By Trinity X Side-By-Side Fund, L.P.) - Conversion
Common Stock
2014-07-23+4,192→ 32,413 total(indirect: By Trinity X Side-By-Side Fund, L.P.) - Conversion
Series A Preferred Stock (Convertible)
2014-07-23−99,646→ 0 total(indirect: By Trinity Ventures X, L.P.)→ Common Stock (99,646 underlying) - Conversion
Series A-1 Preferred Stock (Convertible)
2014-07-23−3,378,826→ 0 total(indirect: By Trinity Ventures X, L.P.)→ Common Stock (3,378,826 underlying) - Conversion
Series C Preferred Stock (Convertible)
2014-07-23−840,571→ 0 total(indirect: By Trinity Ventures X, L.P.)→ Common Stock (840,571 underlying) - Conversion
Series A Preferred Stock (Convertible)
2014-07-23−930→ 0 total(indirect: By Trinity X Entrepreneurs' Fund, L.P.)→ Common Stock (930 underlying) - Conversion
Series A-1 Preferred Stock (Convertible)
2014-07-23−30,867→ 0 total(indirect: By Trinity X Entrepreneurs' Fund, L.P.)→ Common Stock (30,867 underlying) - Conversion
Series B Preferred Stock (Convertible)
2014-07-23−11,102→ 0 total(indirect: By Trinity X Entrepreneurs' Fund, L.P.)→ Common Stock (11,102 underlying) - Conversion
Series A Preferred Stock (Convertible)
2014-07-23−565→ 0 total(indirect: By Trinity X Side-By-Side Fund, L.P.)→ Common Stock (565 underlying) - Conversion
Series B Preferred Stock (Convertible)
2014-07-23−6,004→ 0 total(indirect: By Trinity X Side-By-Side Fund, L.P.)→ Common Stock (6,004 underlying) - Conversion
Series C Preferred Stock (Convertible)
2014-07-23−4,192→ 0 total(indirect: By Trinity X Side-By-Side Fund, L.P.)→ Common Stock (4,192 underlying) - Conversion
Common Stock
2014-07-23+6,004→ 28,221 total(indirect: By Trinity X Side-By-Side Fund, L.P.) - Conversion
Common Stock
2014-07-23+4,364→ 36,777 total(indirect: By Trinity X Side-By-Side Fund, L.P.) - Conversion
Series B Preferred Stock (Convertible)
2014-07-23−1,115,746→ 0 total(indirect: By Trinity Ventures X, L.P.)→ Common Stock (1,115,746 underlying) - Conversion
Series C Preferred Stock (Convertible)
2014-07-23−7,783→ 0 total(indirect: By Trinity X Entrepreneurs' Fund, L.P.)→ Common Stock (7,783 underlying) - Conversion
Series A-1 Preferred Stock (Convertible)
2014-07-23−19,892→ 0 total(indirect: By Trinity X Side-By-Side Fund, L.P.)→ Common Stock (19,892 underlying)
Footnotes (3)
- [F1]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.
- [F2]Trinity TVL X, LLC is the general partner of Trinity Ventures X, L.P., Trinity X Side-By-Side Fund, L.P. and Trinity X Entrepreneurs' Fund, L.P. and has sole voting and investment power with respect to the shares held by Trinity Ventures X, L.P., Trinity X Side-By-Side Fund, L.P. and Trinity X Entrepreneurs' Fund, L.P. The reporting person is a management member of Trinity TVL X, LLC, and may be deemed to share voting and investment power over the shares owned by Trinity Ventures X, L.P., Trinity X Side-By-Side Fund, L.P. and Trinity X Entrepreneurs' Fund, L.P. The reporting person disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein.
- [F3]Lawrence K. Orr, Noel J. Fenton, Augustus O. Tai, Fred Wang, Patricia Nakache, Ajay Chopra, TVL Management Corporation, Karan Mehandru, Daniel Scholnick and Nina C. Labatt are management members of Trinity TVL X, LLC, and may be deemed to share voting and investment power over the shares owned by Trinity Ventures X, L.P., Trinity X Side-By-Side Fund, L.P. and Trinity X Entrepreneurs' Fund, L.P. Each of the management members of Trinity TVL X, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his, her or its respective pecuniary interest therein. Mr. Chopra is a director of the Issuer and, accordingly, files separate Section 16 reports.