0000919574-18-003549.txt : 20180514
0000919574-18-003549.hdr.sgml : 20180514
20180514181226
ACCESSION NUMBER: 0000919574-18-003549
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180510
FILED AS OF DATE: 20180514
DATE AS OF CHANGE: 20180514
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: 18832315
MAIL ADDRESS:
STREET 1: C/O HARBERT MANAGEMENT CORPORATION
STREET 2: 2100 THIRD AVENUE NORTH, SUITE 600
CITY: BIRMINGHAM
STATE: AL
ZIP: 35203
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
p7893716.xml
OWNERSHIP DOCUMENT
X0306
4
2018-05-10
0
0000892482
Qumu Corp
QUMU
0001642389
LUCAS KENAN
2100 THIRD AVENUE NORTH, SUITE 600
BIRMINGHAM
AL
35203
1
0
1
0
Common Stock, $0.01 par value
1200329
I
See Footnote
Restricted Stock Units
2018-05-10
2018-05-10
4
A
0
25000
0
D
Common Stock
25000
25000
I
See Footnote
These shares are held by Harbert Discovery Fund, LP (the "Fund"). Mr. Lucas may be deemed to beneficially own these shares through his role as a director and co-portfolio manager of the Fund's general partner.
Each restricted stock unit represents the contingent right to receive one share of Qumu common stock.
The restricted stock units vest on the first business day prior to the 2019 Annual Meeting of Shareholders, provided the Reporting Person continues to provide services to Qumu as a director on that date, subject to certain exceptions
The Reporting Person has elected not to defer the delivery of any shares in this grant. All shares not deferred will be paid within 90 days following the date of the restricted stock unit's first vest.
On May 10, 2018, the Reporting Person received 25,000 restricted stock units pursuant to the Issuer's 2007 Second Amended and Restated Stock Incentive Plan. Each restricted stock unit represents the contingent right to receive one share of Qumu common stock. The restricted stock units are held for the benefit of the investors of the Fund.
The Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of 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.
/s/ Kenan Lucas
2018-05-14