0000919574-21-005215.txt : 20210813 0000919574-21-005215.hdr.sgml : 20210813 20210813185611 ACCESSION NUMBER: 0000919574-21-005215 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210811 FILED AS OF DATE: 20210813 DATE AS OF CHANGE: 20210813 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: 211173809 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 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: 211173808 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 DISCOVERY FUND GP, LLC CENTRAL INDEX KEY: 0001642538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 211173810 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: LUCAS KENAN CENTRAL INDEX KEY: 0001642389 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 211173811 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: 400 SOUTH 4TH STREET STREET 2: SUITE 401-412 CITY: MINNEAPOLIS STATE: MN ZIP: 55415 BUSINESS PHONE: (612) 638-9100 MAIL ADDRESS: STREET 1: 400 SOUTH 4TH STREET STREET 2: SUITE 401-412 CITY: MINNEAPOLIS STATE: MN ZIP: 55415 FORMER COMPANY: FORMER CONFORMED NAME: RIMAGE CORP DATE OF NAME CHANGE: 19930328 4 1 ownership.xml X0306 4 2021-08-11 0 0000892482 Qumu Corp QUMU 0001642389 LUCAS KENAN 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 1 0 0 0 0001642538 HARBERT DISCOVERY FUND GP, LLC 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 1 0 0 0 0001616659 HARBERT FUND ADVISORS, INC. 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 1 0 0 0 0001259933 HARBERT MANAGEMENT CORP 2100 THIRD AVENUE NORTH, SUITE 600 BIRMINGHAM AL 35203 1 0 0 0 Common Stock, $0.01 par value 2021-08-11 4 P 0 175000 2.4447 A 1585621 I See footnote Common Stock, $0.01 par value 2021-08-12 4 P 0 65378 2.5002 A 1650999 I See footnote Common Stock, $0.01 par value 2021-08-13 4 P 0 87885 2.4788 A 1738884 I See footnote The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices within the range from $2.36 to $2.4801 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 amount of securities beneficially owned following reported transactions (the "Reported Shares") includes 43,099 shares of common stock received by Kenan Lucas in lieu of a portion of his annual board compensation. These 43,099 shares were assigned to Harbert Fund Advisors, Inc. ("HFA"), and are held in an affiliated brokerage account for the benefit of the investors of Harbert Discovery Fund, LP (the "Fund"). The Reported Shares (other than the 43,099 shares referenced in footnote (2)) are held in the account of 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) HFA, the investment adviser to the Fund, (iii) Harbert Management Corporation ("HMC"), the managing member of the Fund GP and (iv) Kenan Lucas, the managing director and portfolio manager of the Fund GP and a director of the Issuer. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices within the range from $2.43 to $2.55 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 within the range from $2.41 to $2.54 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 of the Fund GP, HFA and HMC may be deemed a director by deputization of the Issuer by virtue of the fact that Kenan Lucas, a representative of the Fund GP, HFA and HMC, currently serves on the Issuer's board of directors. 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. /s/ Kenan Lucas 2021-08-13 Harbert Discovery Fund GP, LLC By: Harbert Management Corporation, its Managing Member By: /s/ John McCullough Executive Vice President and General Counsel 2021-08-13 Harbert Fund Advisors, Inc. By: /s/ John McCullough Executive Vice President and General Counsel 2021-08-13 Harbert Management Corporation By: /s/ John McCullough Executive Vice President and General Counsel 2021-08-13