Statement of Changes in Beneficial Ownership (4)
October 01 2020 - 2:22PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Fishback Daniel R |
2. Issuer Name and Ticker or Trading Symbol
Qumu Corp
[
QUMU
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
76 ADAM WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/29/2020 |
(Street)
ATHERTON, CA 94027
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/29/2020 | | M | | 18099 | A | $0 | 18099 | D | |
Common Stock | 9/29/2020 | | G | | 18099 | D | $0 | 0 | D | |
Common Stock | 9/29/2020 | | G | | 18099 | A | $0 | 119659 | I | By Trust (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | 9/29/2020 | | M | | | 18099 | (3) | (4) | Common Stock | 18099.0 | $0 | 0 | D | |
Restricted Stock Units | (2) | 9/30/2020 | | A | | 17353 | | (5) | (6) | Common Stock | 17353.0 | $0 | 17353 | D | |
Explanation of Responses: |
(1) | Fishback Family Revocable Trust, of which reporting person is the trustee. |
(2) | Each restricted stock units represents the contingent right to receive one share of Qumu common stock. |
(3) | The restricted stock units vested on the first business day prior to the 2020 Annual Meeting of the Shareholders. |
(4) | The reporting person has elected not to defer the delivery of any shares in this grant. All shares not deferred will be paid within 90 days following the date of the restricted stock unit's first vest. |
(5) | The restricted stock units vest on the first business day prior to the 2021 Annual Meeting of Shareholders, provided the director continues to provide services to Qumu on that date, subject to certain exceptions. |
(6) | Delivery of the shares in this grant is deferred to the first January 1 following the date of separation from service with Qumu. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fishback Daniel R 76 ADAM WAY ATHERTON, CA 94027 | X |
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Signatures
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/s/ Eric Nyberg, Attorney-in-Fact for Daniel R. Fishback | | 9/30/2020 |
**Signature of Reporting Person | Date |
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