0000919574-19-003268.txt : 20190510 0000919574-19-003268.hdr.sgml : 20190510 20190510175928 ACCESSION NUMBER: 0000919574-19-003268 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190508 FILED AS OF DATE: 20190510 DATE AS OF CHANGE: 20190510 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: 19816302 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 ownership.xml X0306 4 2019-05-08 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 2019-05-08 4 M 0 25000 0 A 25000 I See Footnote Common Stock, $0.01 par value 1267522 I See Footnote Restricted Stock Units 2019-05-08 4 M 0 25000 0 D Common Stock 25000 0 I See Footnote Restricted Stock Units 2019-05-09 4 A 0 18099 0 A Common Stock 18099 18099 I See Footnote These shares are held in an affiliated brokerage account for the benefit of the investors of Harbert Discovery Fund, LP (the "Fund"). These shares are held by the Fund. Mr. Lucas may be deemed to beneficially own these shares through his role as the managing director and 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 vested on May 8, 2019, which was the first business day prior to the 2019 Annual Meeting of Shareholders. 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 May 8, 2019. The restricted stock units are held for the benefit of the investors of the Fund. The restricted stock units vest on the first business day prior to the 2020 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 the restricted stock unit's first vest. 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 2019-05-10