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