0001144204-19-006803.txt : 20190213 0001144204-19-006803.hdr.sgml : 20190213 20190213090146 ACCESSION NUMBER: 0001144204-19-006803 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Falk Thomas CENTRAL INDEX KEY: 0001490859 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37879 FILM NUMBER: 19593486 MAIL ADDRESS: STREET 1: 2220 WEST 14TH STREET CITY: TEMPE STATE: AZ ZIP: 85281 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Trade Desk, Inc. CENTRAL INDEX KEY: 0001671933 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 271887399 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 42 N. CHESTNUT STREET CITY: VENTURA STATE: CA ZIP: 93001 BUSINESS PHONE: (805) 585-3434 MAIL ADDRESS: STREET 1: 42 N. CHESTNUT STREET CITY: VENTURA STATE: CA ZIP: 93001 5 1 tv513322_5.xml OWNERSHIP DOCUMENT X0306 5 2018-12-31 0 0 1 0001671933 Trade Desk, Inc. TTD 0001490859 Falk Thomas C/O THE TRADE DESK, INC. 42 NORTH CHESTNUT STREET VENTURA CA 93001 1 0 0 0 Class A Common Stock 2018-03-08 4 C 0 L 23811 0 A 23811 I Via Entrepreneurs Investment Fund I LP Class A Common Stock 2018-03-08 4 J 0 L 11905 0 D 0 I Via Entrepreneurs Investment Fund I LP Class A Common Stock 2018-04-17 4 S 0 L 183556 55.00 D 258456 I Via Revel Venture Fund I LP Class B Common Stock 2018-03-08 4 C 0 L 23811 0 D Class A Common Stock 23811 0 I Via Entrepreneurs Investment Fund I LP Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time. In addition, each share of Class B Common Stock will convert automatically into one (1) share of Class A Common Stock upon any transfer, whether or not for value, except for certain permitted transfers described in, and transfers to any "permitted transferee" as defined in, the Issuer's Amended and Restated Certificate of Incorporation in effect as of the date hereof. All shares of Class B Common Stock will convert automatically into shares of a Class A Common Stock upon the earlier of (i) the date on which the number of outstanding shares of Class B Common Stock represent less than ten percent (10%) of the aggregate number of shares of the then outstanding Class A Common Stock and Class B Common Stock or (ii) a date specified by the holders of at least sixty-six and two-thirds percent (66.6%) of the outstanding shares of Class B Common Stock. The conversion of the Class B Common Stock into Class A Common Stock is converted at a fixed conversion price, at a one-for-one conversion rate, and is therefore exempt under Rule 16b-6(b). An amount of 11,906 of such shares were transferred to Falk Ventures GmbH, which is not required to be reported herein because the transfer represents only a change in the nature of indirect ownership. Via Entrepreneurs Investment Fund I LP distributed 11,905 shares to its members, who are not affiliated with the Issuer. Such sales were made pursuant to a Rule 10(b)5-1 Plan established by the Reporting Person. /s/ Thomas Falk 2019-02-12