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