0001209191-16-144857.txt : 20161005
0001209191-16-144857.hdr.sgml : 20161005
20161005160258
ACCESSION NUMBER: 0001209191-16-144857
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161003
FILED AS OF DATE: 20161005
DATE AS OF CHANGE: 20161005
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: 161922436
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: SCHUH MICHAEL N
CENTRAL INDEX KEY: 0001205498
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36543
FILM NUMBER: 161922438
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: 161922439
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: Foundation Capital, LLC
CENTRAL INDEX KEY: 0001615420
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36543
FILM NUMBER: 161922441
BUSINESS ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-614-0500
MAIL ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foundation Capital VI Principals Fund, LLC
CENTRAL INDEX KEY: 0001451964
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36543
FILM NUMBER: 161922442
BUSINESS ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-614-0500
MAIL ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FOUNDATION CAPITAL VI LP
CENTRAL INDEX KEY: 0001433196
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36543
FILM NUMBER: 161922443
BUSINESS ADDRESS:
STREET 1: C/O FOUNDATION CAPITAL
STREET 2: 70 WILLOW ROAD, SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-614-0500
MAIL ADDRESS:
STREET 1: C/O FOUNDATION CAPITAL
STREET 2: 70 WILLOW ROAD, SUITE 200
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foundation Capital Management Co. VI, LLC
CENTRAL INDEX KEY: 0001451965
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36543
FILM NUMBER: 161922445
BUSINESS ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-614-0500
MAIL ADDRESS:
STREET 1: 250 MIDDLEFIELD ROAD
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: 161922437
MAIL ADDRESS:
STREET 1: C/O FOUNDATION CAPITAL
STREET 2: 70 WILLOW ROAD STE 103
CITY: MENLO PARK
STATE: CA
ZIP: 94025
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: HOLLAND PAUL R
CENTRAL INDEX KEY: 0001205501
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36543
FILM NUMBER: 161922440
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: Moldow Charles
CENTRAL INDEX KEY: 0001452009
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36543
FILM NUMBER: 161922435
MAIL ADDRESS:
STREET 1: C/O FOUNDATION CAPITAL
STREET 2: 250 MIDDLEFIELD ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-10-03
0
0001449278
TUBEMOGUL INC
TUBE
0001451965
Foundation Capital Management Co. VI, LLC
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001433196
FOUNDATION CAPITAL VI LP
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001451964
Foundation Capital VI Principals Fund, LLC
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001615420
Foundation Capital, LLC
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001205501
HOLLAND PAUL R
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001205496
KOONTZ PAUL G
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001205498
SCHUH MICHAEL N
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001078748
ELMORE WILLIAM B
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001399347
Weiss Warren M
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
0001452009
Moldow Charles
250 MIDDLEFIELD ROAD
MENLO PARK
CA
94025
0
0
1
0
Common Stock
2016-10-03
4
J
0
390000
0.00
D
5848097
I
By Foundation Capital VI, L.P.
Common Stock
2016-10-03
4
J
0
100425
0.00
A
100425
I
By Foundation Capital Management Co. VI, L.L.C.
Common Stock
2016-10-03
4
J
0
100425
0.00
D
0
I
By Foundation Capital Management Co. VI, L.L.C.
Common Stock
2016-10-03
4
J
0
41366
0.00
D
0
I
By: Foundation Capital VI Principals Fund, LLC
Common Stock
2016-10-03
4
J
0
268
0.00
A
268
I
By Foundation Capital, LLC
Common Stock
2016-10-03
4
J
0
8800
0.00
A
27883
I
By Holland/Yates Family Trust dtd 7/23/1999
Common Stock
2016-10-03
4
J
0
1234
0.00
A
29117
I
By Holland/Yates Family Trust dtd 7/23/1999
Common Stock
2016-10-03
4
J
0
2972
0.00
A
4435
I
By The Holland Childrens Trust
Common Stock
2016-10-03
4
J
0
2370
0.00
A
7110
I
By Koontz Revocable Trust U/A/D 6/29/1998
Common Stock
2016-10-03
4
J
0
4163
0.00
A
13671
I
By Michael N. & Mary G. Schuh 1990 Family Trust
Common Stock
2016-10-03
4
J
0
1234
0.00
A
14905
I
By Michael N. & Mary G. Schuh 1990 Family Trust
Common Stock
2016-09-29
4
G
0
9072
0.00
A
9072
I
By William B. Elmore Gift Fund
Common Stock
2016-10-03
4
J
0
9119
0.00
A
13749
I
By William B. Elmore Revocable Trust
Common Stock
2016-10-03
4
J
0
12345
0.00
A
24690
I
By Elmore Family Investments B, LP
Common Stock
2016-10-03
4
J
0
10544
0.00
A
10544
I
By The Warren M. Weiss Trust UA dated 7/20/2005
Common Stock
2016-10-03
4
J
0
2469
0.00
A
13013
I
By The Warren M. Weiss Trust UA dated 7/20/2005
Common Stock
2016-10-03
4
J
0
1959
0.00
A
1959
I
By ALLY L. WEISS GST EXEMPT TRUST
Common Stock
2016-10-03
4
J
0
1959
0.00
A
1959
I
By SHANE T. WEISS GST EXEMPT TRUST
Common Stock
2016-10-03
4
J
0
12487
0.00
A
16927
I
By Moldow Family Trust dated 11/11/2003
Common Stock
2016-10-03
4
J
0
741
0.00
A
17668
I
By Moldow Family Trust dated 11/11/2003
Common Stock
2016-10-03
4
J
0
1582
0.00
A
1582
I
By The Moldow 2008 Children's Trust
Common Stock
2016-10-03
4
J
0
9125
0.00
A
20275
I
By Vassallo Family Revocable Trust dated 7/15/02
Common Stock
2016-10-04
4
S
0
13013
9.06
D
0
I
By The Warren M. Weiss Trust UA dated 7/20/2005
Common Stock
2016-10-04
4
S
0
7300
9.07
D
12975
I
By Vassallo Family Revocable Trust dated 7/15/02
Common Stock
2016-10-04
4
S
0
1959
9.04
D
0
I
By ALLY L. WEISS GST EXEMPT TRUST
Common Stock
2016-10-04
4
S
0
1959
9.04
D
0
I
By SHANE T. WEISS GST EXEMPT TRUST
Common Stock
2016-10-04
4
S
0
1582
9.05
D
0
I
By The Moldow 2008 Children's Trust
Common Stock
2016-10-04
4
S
0
13228
9.04
D
4440
I
By Moldow Family Trust dated 11/11/2003
Common Stock
2016-10-04
4
S
0
268
9.14
D
0
I
By Foundation Capital, 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 October 3, 2016 without consideration to its limited partners and its general partner, Foundation Capital Management Co. VI, L.L.C. Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
Foundation Capital Management Co. VI, L.L.C. is the sole general partner of Foundation Capital VI, L.P. and the sole manager of 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, L.L.C., 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, L.L.C. disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his 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, L.L.C. effected following the close of the trading market on October 3, 2016 without consideration to its members. Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital VI Principals Fund, LLC effected following the close of the trading market on October 3, 2016 without consideration to its members. Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
Paul R. Holland, Warren M. Weiss, Charles Moldow and Steve Vassallo are managers of Foundation Capital, LLC. Foundation Capital, LLC is under common control with Foundation Capital Management Co. VI, L.L.C. 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.
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 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
On September 29, 2016, William B. Elmore, as trustee of the William B. Elmore Revocable Trust (the "Donor"), transferred by way of gift an aggregate of 9,072 shares of Common Stock of the Company registered in the name of the Donor to the William B. Elmore Gift Fund. The Donor received no consideration for this transfer and the transfer is a bona fide gift.
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 Elmore Family Investments B, LP (the "Elmore Partnership"). William B. Elmore is a general partner of the Elmore Partnership. The Reporting Person disclaims beneficial ownership of the shares held by the Elmore Partnership 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 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 P. 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.
Transaction pursuant to a 10b5-1 Plan dated May 18, 2016.
Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.23 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.84 to $9.25 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.28 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.83 to $9.25 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.86 to $9.29 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $8.81 to $9.29 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
On October 4, 2016, Foundation Capital, LLC sold 268 shares of stock pursuant to a 10b5-1 Plan dated May 18, 2016.
All shares were sold at this price.
Filing 1 of 2: see Form 4 for Foundation Capital Management Co. VI, L.L.C. for additional members of this joint filing.
/s/ David A. Singer as Attorney-In-Fact for Foundation Capital Management Co. VI, L.L.C.
2016-10-04
/s/ David A. Singer as Attorney-In-Fact for Foundation Capital VI, L.P.
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for Foundation Capital VI Principals Fund, L.L.C.
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for Foundation Capital, LLC
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for Paul R. Holland
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for Paul G. Koontz
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for Michael N. Schuh
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for William B. Elmore
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for Warren M. Weiss
2016-10-04
/s/ David A. Singer as Attorney-in-Fact for Charles Moldow
2016-10-04