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