Statement of Changes in Beneficial Ownership (4)
November 23 2020 - 5:34PM
Edgar (US Regulatory)
FORM 4
[ ]
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
FALBERG KATHRYN E |
2. Issuer Name and Ticker or Trading Symbol
Trade Desk, Inc.
[
TTD
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O THE TRADE DESK, INC., 42 NORTH CHESTNUT STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/19/2020 |
(Street)
VENTURA, CA 93001
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A Common Stock | 11/19/2020 | | C | | 20000 | A | $0.00 | 22641 | D | |
Class A Common Stock | 11/19/2020 | | S | | 232 | D | $806.63 (1) | 22409 | D | |
Class A Common Stock | 11/19/2020 | | S | | 795 | D | $807.84 (2) | 21614 | D | |
Class A Common Stock | 11/19/2020 | | S | | 1853 | D | $809.03 (3) | 19761 | D | |
Class A Common Stock | 11/19/2020 | | S | | 2852 | D | $810.19 (4) | 16909 | D | |
Class A Common Stock | 11/19/2020 | | S | | 5670 | D | $811.00 (5) | 11239 | D | |
Class A Common Stock | 11/19/2020 | | S | | 200 | D | $811.68 (6) | 11039 | D | |
Class A Common Stock | 11/19/2020 | | S | | 891 | D | $813.04 (7) | 10148 | D | |
Class A Common Stock | 11/19/2020 | | S | | 10 | D | $814.00 | 10138 | D | |
Class A Common Stock | 11/19/2020 | | S | | 1891 | D | $815.00 | 8247 | D | |
Class A Common Stock | 11/19/2020 | | S | | 4139 | D | $818.15 (8) | 4108 | D | |
Class A Common Stock | 11/19/2020 | | S | | 825 | D | $819.06 (9) | 3283 | D | |
Class A Common Stock | 11/19/2020 | | S | | 13 | D | $820.00 | 3270 | D | |
Class A Common Stock | 11/19/2020 | | S | | 629 | D | $822.00 | 2641 | D | |
Class A Common Stock | | | | | | | | 20000 | I | By Trust |
Class A Common Stock | | | | | | | | 20000 | I | By Family Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Employee Stock Option (Right to Buy) | $18.03 | 11/19/2020 | | M | | | 20000 | (10) | 8/2/2026 | Class B Common Stock | 20000 | $0.00 | 10303 | D | |
Class B Common Stock | $0.00 | 11/19/2020 | | M | | 20000 | | (11) | (11) | Class A Common Stock | 20000 | $0.00 | 20000 | D | |
Class B Common Stock | $0.00 | 11/19/2020 | | C | | | 20000 | (11) | (11) | Class A Common Stock | 20000 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $806.22 to $807.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $807.26 to $808.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $808.55 to $809.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $809.55 to $810.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $810.56 to $811.37, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $811.62 to $811.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $813.00 to $813.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(8) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $818.00 to $818.94, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(9) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $819.00 to $819.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(10) | The option was granted on August 3, 2016 (the "Grant Date"). One-fourth (1/4th) of the shares subject to the option vest on the first anniversary of the Grant Date, with one forty-eighth (1/48th ) of the shares subject to the original grant vesting on each monthly anniversary thereafter, subject to continued service as a director of the Issuer through the applicable vesting dates. |
(11) | Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time and upon certain other circumstances. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FALBERG KATHRYN E C/O THE TRADE DESK, INC. 42 NORTH CHESTNUT STREET VENTURA, CA 93001 | X |
|
|
|
Signatures
|
/s/ Alfred Palomino, Attorney-in-Fact for Kathryn E. Falberg | | 11/23/2020 |
**Signature of Reporting Person | Date |
The Trade Desk (NASDAQ:TTD)
Historical Stock Chart
From Mar 2024 to Apr 2024
The Trade Desk (NASDAQ:TTD)
Historical Stock Chart
From Apr 2023 to Apr 2024