0000921895-18-001659.txt : 20180511 0000921895-18-001659.hdr.sgml : 20180511 20180511184557 ACCESSION NUMBER: 0000921895-18-001659 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180509 FILED AS OF DATE: 20180511 DATE AS OF CHANGE: 20180511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NETTER DONALD T CENTRAL INDEX KEY: 0001229212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20728 FILM NUMBER: 18828302 MAIL ADDRESS: STREET 1: C/O 1117 EAST PUTNAM AVENUE STREET 2: ONE HUNDRED AND FIFTY CITY: RIVERSIDE STATE: CT ZIP: 06878 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 form407378004_05112018.xml OWNERSHIP DOCUMENT X0306 4 2018-05-09 1 0000892482 Qumu Corp QUMU 0001229212 NETTER DONALD T C/O OLSHAN FROME WOLOSKY LLP 1325 AVENUE OF THE AMERICAS NEW YORK NY 10019 1 0 0 0 Common Stock 2018-05-09 4 M 0 25000 0 A 25000 D Common Stock 580500 I By: Dolphin Limited Partnership III, L.P. Restricted Stock Unit 2018-05-09 4 M 0 25000 0 D Common Stock 25000 0 D Securities are owned directly by Dolphin Limited Partnership III, L.P. ("Dolphin III"). Mr. Netter, solely by virtue of his position as the Senior Managing Director of Dolphin Holdings Corp. III, the managing member of Dolphin Associates III, LLC, which is the general partner of Dolphin III, may be deemed to beneficially own the securities owned directly by Dolphin III for purposes of Section 16. Mr. Netter expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. Each restricted stock unit represents the contingent right to receive one share of the Issuer's common stock. The restricted stock units vested the first business day prior to the 2018 Annual Meeting of Shareholders provided the director continued to provide services to Qumu on that date, subject to certain exceptions. The reporting person has elected to defer the delivery of 100% of the shares in this grant to the first January 1 following the date of separation from service with Qumu. /s/ Donald T. Netter 2018-05-11