0000919574-17-007575.txt : 20171103 0000919574-17-007575.hdr.sgml : 20171103 20171103172431 ACCESSION NUMBER: 0000919574-17-007575 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171101 FILED AS OF DATE: 20171103 DATE AS OF CHANGE: 20171103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT RAYMOND J CENTRAL INDEX KEY: 0001233571 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 171177576 MAIL ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRYANT JOHN F. CENTRAL INDEX KEY: 0001642336 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 171177578 MAIL ADDRESS: STREET 1: C/O HARBERT MANAGEMENT CORPORATION STREET 2: 2100 THIRD AVENUE NORTH, SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUCAS KENAN CENTRAL INDEX KEY: 0001642389 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 171177577 MAIL ADDRESS: STREET 1: C/O HARBERT MANAGEMENT CORPORATION STREET 2: 2100 THIRD AVENUE NORTH, SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT DISCOVERY FUND GP, LLC CENTRAL INDEX KEY: 0001642538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 171177581 BUSINESS ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 205-987-5577 MAIL ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 FORMER NAME: FORMER CONFORMED NAME: HARBERT MICROCAP PARTNERS FUND GP, LLC DATE OF NAME CHANGE: 20150515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT MANAGEMENT CORP CENTRAL INDEX KEY: 0001259933 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 171177579 BUSINESS ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 205-987-5500 MAIL ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT FUND ADVISORS, INC. CENTRAL INDEX KEY: 0001616659 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 171177580 BUSINESS ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 205-987-5576 MAIL ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 FORMER NAME: FORMER CONFORMED NAME: HARBERT FUND ADVISERS, INC. DATE OF NAME CHANGE: 20140813 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harbert Discovery Fund, LP CENTRAL INDEX KEY: 0001626127 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 171177582 BUSINESS ADDRESS: STREET 1: HARBERT DISCOVERY FUND GP, LLC STREET 2: 2100 THIRD AVENUE NORTH, SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 205-987-5500 MAIL ADDRESS: STREET 1: HARBERT DISCOVERY FUND GP, LLC STREET 2: 2100 THIRD AVENUE NORTH, SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 FORMER NAME: FORMER CONFORMED NAME: HARBERT MICROCAP PARTNERS FUND, LP DATE OF NAME CHANGE: 20141121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Qumu Corp CENTRAL INDEX KEY: 0000892482 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 411577970 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 510 1ST AVENUE NORTH STREET 2: SUITE 305 CITY: MINNEAPOLIS STATE: MN ZIP: 55403 BUSINESS PHONE: (612) 638-9100 MAIL ADDRESS: STREET 1: 510 1ST AVENUE NORTH STREET 2: SUITE 305 CITY: MINNEAPOLIS STATE: MN ZIP: 55403 FORMER COMPANY: FORMER CONFORMED NAME: RIMAGE CORP DATE OF NAME CHANGE: 19930328 4 1 p7724786.xml OWNERSHIP DOCUMENT X0306 4 2017-11-01 0 0000892482 Qumu Corp QUMU 0001626127 Harbert Discovery Fund, LP 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 0 0 1 0 0001642538 HARBERT DISCOVERY FUND GP, LLC 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 0 0 1 0 0001616659 HARBERT FUND ADVISORS, INC. 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 0 0 1 0 0001259933 HARBERT MANAGEMENT CORP 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 0 0 1 0 0001642336 BRYANT JOHN F. 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 0 0 1 0 0001642389 LUCAS KENAN 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 0 0 1 0 0001233571 HARBERT RAYMOND J 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 0 0 1 0 Common Stock, $0.01 par value 2017-11-01 4 P 0 51618 2.4591 A 991788 D Common Stock, $0.01 par value 2017-11-02 4 P 0 67172 2.4498 A 1058960 D Common Stock, $0.01 par value 2017-11-03 4 P 0 37919 2.3925 A 1096879 D The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.39 to $2.50 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price. The securities are held in the account of Harbert Discovery Fund, LP (the "Fund") and may be deemed to be beneficially owned by (i) Harbert Discovery Fund GP, LLC (the "Fund GP"), the general partner of the Fund, (ii) Harbert Fund Advisors, Inc., the investment adviser to the Fund, (iii) Harbert Management Corporation ("HMC"), the managing member of the Fund GP, (iv) Jack Bryant, a director and co-portfolio manager of the Fund GP, (v) Kenan Lucas, a director and co-portfolio manager of the Fund GP and (vi) Raymond Harbert, the controlling shareholder, Chairman and Chief Executive Officer of HMC. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.44 to $2.45 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.35 to $2.40 per share, inclusive. The Reporting Persons undertake to provide to the staff of the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Harbert Discovery Fund, LP, By: Harbert Discovery Fund GP, LLC, its General Partner, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel 2017-11-03 Harbert Discovery Fund GP, LLC, By: Harbert Management Corporation, its Managing Member, By: /s/ John McCullough, Executive Vice President and General Counsel 2017-11-03 Harbert Fund Advisors, Inc., By: /s/ John McCullough, Executive Vice President and General Counsel 2017-11-03 Harbert Management Corporation, By: /s/ John McCullough, Executive Vice President and General Counsel 2017-11-03 /s/ John F. Bryant 2017-11-03 /s/ Kenan Lucas 2017-11-03 /s/Raymond Harbert 2017-11-03