0001571049-16-018514.txt : 20160928 0001571049-16-018514.hdr.sgml : 20160928 20160928184711 ACCESSION NUMBER: 0001571049-16-018514 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160926 FILED AS OF DATE: 20160928 DATE AS OF CHANGE: 20160928 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Falk Thomas CENTRAL INDEX KEY: 0001490859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37879 FILM NUMBER: 161908021 MAIL ADDRESS: STREET 1: 2220 WEST 14TH STREET CITY: TEMPE STATE: AZ ZIP: 85281 4 1 falk0928.xml OWNERSHIP DOCUMENT X0306 4 2016-09-26 0 0001671933 Trade Desk, Inc. TTD 0001490859 Falk Thomas C/O THE TRADE DESK, INC. 42 NORTH CHESTNUT STREET VENTURA CA 93001 1 0 1 0 Class A Common Stock 2016-09-26 4 P 0 50000 18.00 A 50000 I Via eValue AG Series A-3 Preferred Stock 2016-09-26 4 C 0 2330082 0 D Series B Common Stock 776694 0 I Via Revel Venture Fund I, L.P. Seed Preferred Stock 2016-09-26 4 C 0 28349 0 D Series B Common Stock 9449 0 I Via eValue AG Series A-1 Preferred Stock 2016-09-26 4 C 0 70990 0 D Series B Common Stock 56996 0 I Via eValue AG Series A-3 Preferred Stock 2016-09-26 4 C 0 183410 0 D Series B Common Stock 61136 0 I Via Entrepreneurs Investment Fund I, LP Class B Common Stock 2016-09-26 4 C 0 776694 0 A Class A Common Stock 776694 0 I Via Revel Venture Fund I, L.P. Class B Common Stock 2016-09-26 4 C 0 66445 0 A Class A Common Stock 66445 0 I Via eValue AG Class B Common Stock 2016-09-26 4 C 0 61136 0 A Class A Common Stock 61136 0 I Via Entrepreneurs Investment Fund I, LP The Seed Preferred Stock, Series A-1 Preferred Stock and Series A-3 Preferred Stock (collectively, the "Preferred Stock") will convert into shares of Class B Common Stock immediately prior to the closing of the Issuer's initial public offering. The number of shares reported herein gives effect to the 1 for-3 reverse stock split effected by the Issuer and the resulting change to the conversion price for the Preferred Stock. The Preferred Stock does not have an expiration date. 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 ?%) of the outstanding shares of Class B Common Stock. The Reporting Person has no pecuniary interest in shares owned by Via Entrepreneurs Investment Fund I, LP., and are reported herein because he may be deemed to be the beneficial owner of such shares. /s/ Thomas Falk 2016-09-28