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