0001209191-16-122993.txt : 20160524 0001209191-16-122993.hdr.sgml : 20160524 20160524173251 ACCESSION NUMBER: 0001209191-16-122993 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160523 FILED AS OF DATE: 20160524 DATE AS OF CHANGE: 20160524 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TUBEMOGUL INC CENTRAL INDEX KEY: 0001449278 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 510633881 STATE OF INCORPORATION: CA BUSINESS ADDRESS: STREET 1: 1250 53RD STREET, SUITE 6 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 510-653-0677 MAIL ADDRESS: STREET 1: 1250 53RD STREET, SUITE 6 CITY: EMERYVILLE STATE: CA ZIP: 94608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vassallo Steven CENTRAL INDEX KEY: 0001567929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36543 FILM NUMBER: 161672822 MAIL ADDRESS: STREET 1: C/O FOUNDATION CAPITAL STREET 2: 250 MIDDLEFIELD ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Moldow Charles CENTRAL INDEX KEY: 0001452009 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36543 FILM NUMBER: 161672823 MAIL ADDRESS: STREET 1: C/O FOUNDATION CAPITAL STREET 2: 250 MIDDLEFIELD ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Weiss Warren M CENTRAL INDEX KEY: 0001399347 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36543 FILM NUMBER: 161672824 MAIL ADDRESS: STREET 1: FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOLLAND PAUL R CENTRAL INDEX KEY: 0001205501 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36543 FILM NUMBER: 161672825 MAIL ADDRESS: STREET 1: FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD STE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHUH MICHAEL N CENTRAL INDEX KEY: 0001205498 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36543 FILM NUMBER: 161672826 MAIL ADDRESS: STREET 1: FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD STE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOONTZ PAUL G CENTRAL INDEX KEY: 0001205496 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36543 FILM NUMBER: 161672827 MAIL ADDRESS: STREET 1: FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD STE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELMORE WILLIAM B CENTRAL INDEX KEY: 0001078748 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36543 FILM NUMBER: 161672828 MAIL ADDRESS: STREET 1: C/O FOUNDATION CAPITAL STREET 2: 70 WILLOW ROAD STE 103 CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-05-23 0 0001449278 TUBEMOGUL INC TUBE 0001078748 ELMORE WILLIAM B C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 0 0 1 0 0001205496 KOONTZ PAUL G C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 0 0 1 0 0001205498 SCHUH MICHAEL N C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 0 0 1 0 0001205501 HOLLAND PAUL R C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 0 0 1 0 0001399347 Weiss Warren M C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 0 0 1 0 0001452009 Moldow Charles C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 0 0 1 0 0001567929 Vassallo Steven C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK CA 94025 0 0 1 0 Common Stock 2016-05-23 4 J 0 390000 0.00 D 6628097 I Foundation Capital VI, L.P. Common Stock 2016-05-23 4 J 0 100425 0.00 A 100425 I By Foundation Capital Management Co. VI, L.L.C. Common Stock 2016-05-23 4 J 0 100425 0.00 D 0 I By Foundation Capital Management Co. VI, L.L.C. Common Stock 2016-05-23 4 J 0 9261 0.00 A 9261 I By William B Elmore Revocable Trust Common Stock 2016-05-23 4 J 0 9055 0.00 A 9055 I By Holland/Yates Family Trust dtd 7/23/1999 Common Stock 2016-05-23 4 J 0 1509 0.00 A 1509 I By The Holland Childrens Trust Common Stock 2016-05-23 4 J 0 10455 0.00 A 10455 I By Moldow Family Trust dated 11/11/2003 Common Stock 2016-05-23 4 J 0 1328 0.00 A 1328 I By The Moldow 2008 Childrens Trust Common Stock 2016-05-23 4 J 0 9331 0.00 A 9331 I By Vassallo Family Revocable Trust dated 7/15/02 Common Stock 2016-05-23 4 J 0 11291 0.00 A 11291 I By Warren M. Weiss Trust UA dated 7/20/2005 Common Stock 2016-05-23 4 J 0 2104 0.00 A 2104 I By Ally L. Weiss GST Exempt Trust Common Stock 2016-05-23 4 J 0 2104 0.00 A 2104 I By Shane T. Weiss GST Exempt Trust Common Stock 2016-05-23 4 J 0 2370 0.00 A 2370 I By Koontz Revocable Trust U/A/D 6/29/1998 Common Stock 2016-05-23 4 J 0 4111 0.00 A 4111 I By Michael N. & Mary G. Schuh 1990 Family Trust Common Stock 2016-05-23 4 J 0 268 0.00 A 268 I By Foundation Capital, LLC Common Stock 2016-05-24 4 S 0 268 12.56 D 0 I By Foundation Capital, LLC Common Stock 82732 I Foundation Capital VI Principals Fund, LLC Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital VI, L.P. effected following the close of the trading market on May 23, 2016 without consideration to its limited partners and its general partner, Foundation Capital Management Co. VI, L.L.C. 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, 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. Represents a change in the form of ownership from indirect to direct by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital VI, L.P. described in footnote 1 above. Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital Management Co. VI, LLC effected following the close of the trading market on May 23, 2016 without consideration to its members. The shares are held by the William B. Elmore Revocable Trust (the "Elmore Trust"). William B. Elmore is a trustee of the Elmore Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Elmore Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by the Holland/Yates Family Trust dtd 7/23/1999 (the "Holland Family Trust"). Paul R. Holland is a trustee of the Holland Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Holland Family Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by The Holland Children's Trust (the "Holland Children's Trust"). Paul R. Holland is a trustee of the Holland Children's Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Holland Children's Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by the Moldow Family Trust dated 11/11/2003 (the "Moldow Family Trust"). Charles Moldow is a trustee of the Moldow Family Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Moldow Family Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by The Moldow 2008 Children's Trust (the "Moldow Children's Trust"). Charles Moldow is a trustee of the Moldow Children's Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Moldow Children's Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by the Vassallo Family Revocable Trust dated 7/15/02 (the "Vassallo Trust"). Steve Vassallo is a trustee of the Vassallo Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Vassallo Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by The Warren M. Weiss Trust UA dated 7/20/2005 (the "Weiss Trust"). Warren M. Weiss is a trustee of the Weiss Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Weiss Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by the ALLY L. WEISS GST EXEMPT TRUST (the "ALLY Trust"), a trust controlled by or for the benefit of one or more of Warren M. Weiss' family members. The Reporting Person disclaims beneficial ownership of the shares held by the ALLY Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by the SHANE T. WEISS GST EXEMPT TRUST (the "SHANE Trust"), a trust controlled by or for the benefit of one or more of Warren M. Weiss' family members. The Reporting Person disclaims beneficial ownership of the shares held by the SHANE Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by the Koontz Revocable Trust U/A/D 6/29/1998 (the "Koontz Trust"). Paul G. Koontz is a trustee of the Koontz Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Koontz Trust except to the extent of his proportionate pecuniary interest therein. The shares are held by the Michael N. & Mary G. Schuh 1990 Family Trust (the "Schuh Trust"). Michael N. Schuh is a trustee of the Schuh Trust. The Reporting Person disclaims beneficial ownership of the shares held by the Schuh Trust except to the extent of his proportionate pecuniary interest therein. Paul R. Holland, Warren M. Weiss, Charles Moldow, Steve Vassallo and Ashu Garg are managers of Foundation Capital, LLC. Foundation Capital, LLC is under common control with Foundation Capital Management Co. VI, LLC. As such, each of the managers 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 managers disclaim beneficial ownership in the shares held by the aforementioned entities except to the extent of his pecuniary interest therein. On 5/24/2016, Foundation Capital, LLC sold 268 shares of stock. /s/ David A. Singer as Attorney-In-Fact 2016-05-24