0000919574-23-000924.txt : 20230210
0000919574-23-000924.hdr.sgml : 20230210
20230210180528
ACCESSION NUMBER: 0000919574-23-000924
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230207
FILED AS OF DATE: 20230210
DATE AS OF CHANGE: 20230210
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: 23613828
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
2023-02-07
1
0000892482
Qumu Corp
QUMU
0001642389
LUCAS KENAN
2100 THIRD AVENUE NORTH, SUITE 600
BIRMINGHAM
AL
35203
1
0
0
0
Common Stock, $0.01 par value
2023-02-07
4
U
0
58066
0.9
D
0
I
See footnote
Common Stock, $0.01 par value
2023-02-07
4
U
0
1695785
0.9
D
0
I
See footnote
Restricted Stock Units
2023-02-08
4
D
0
25000
0.9
D
Common Stock, $0.01 par value
25000
0
I
See footnote
Restricted Stock Units
2023-02-08
4
D
0
17353
0.9
D
Common Stock, $0.01 par value
17353
0
I
See footnote
These shares were received by Kenan Lucas in lieu of a portion of his annual board compensation, were assigned to Harbert Fund Advisors, Inc. ("HFA"), and were held in an affiliated brokerage account for the benefit of the investors of Harbert Discovery Fund, LP (the "Fund").
These shares were 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 were converted into the right to receive an amount in cash equal to $0.9 multiplied by the aggregate number of shares of common stock subject to such restricted stock award or RSU award. The foregoing description does purport to be complete and is subject to and qualified in its entirety by reference to the Issuer's SC 14D9 filed on January 6, 2023, which is incorporated herein by reference.
The restricted stock units were held for the benefit of the investors of the Fund.
/s/ Kenan Lucas
2023-02-10