Amended Statement of Beneficial Ownership (sc 13d/a)
January 10 2017 - 6:09AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE
13D/A
U
NDER
THE
S
ECURITIES
E
XCHANGE
A
CT
OF
1934
(Amendment No. 4)*
TubeMogul,
Inc.
(Name of Issuer)
Common Stock
(Title of
Class of Securities)
898570 10 6
(CUSIP Number)
NINA C.
LABATT
TRINITY VENTURES
2480 SAND HILL ROAD, SUITE 200
MENLO PARK, CALIFORNIA 94025
TELEPHONE: (650) 854-9500
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
December 19, 2016
(Date
of Event Which Requires Filing of this Statement)
If the filing person has
previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following
box. ☐
Note:
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for
other parties to whom copies are to be sent.
*
|
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter disclosures provided in a prior cover page.
|
The information required on the remainder of this cover page shall not be
deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act
(however,
see
the
Notes
).
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Trinity TVL X, LLC
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
Delaware
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
OO
|
(1)
|
This Schedule 13D/A is filed by Trinity TVL X, LLC (Trinity TVL X), Trinity Ventures X, L.P. (Trinity X), Trinity X Entrepreneurs Fund, L.P. (Trinity EF X), Trinity X
Side-By-Side Fund, L.P. (Trinity SBS X), TVL Management Corporation (TVL Management, together with Trinity TVL X, Trinity X, Trinity EF X and Trinity SBS X, collectively, the Trinity Entities) and Lawrence K. Orr
(Orr), Noel J. Fenton (Fenton), Augustus O. Tai (Tai), Fred Wang (Wang), Patricia Nakache (Nakache), Ajay Chopra (Chopra), Karan Mehandru (Mehandru), Daniel
Scholnick (Scholnick) and Nina C. Labatt (Labatt), (together with the Trinity Entities and Orr, Fenton, Tai, Wang, Nakache, Chopra, Mehandru, Scholnick and Labatt, the Reporting Persons). The Reporting Persons
expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Trinity Ventures X, L.P.
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
Delaware
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
PN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Trinity X Entrepreneurs Fund, L.P.
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
Delaware
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
PN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Trinity X Side-By-Side Fund, L.P.
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
Delaware
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
PN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
TVL Management Corporation
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
California
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
CO
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Lawrence K. Orr
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Noel J. Fenton
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Augustus O. Tai
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Fred Wang
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Patricia Nakache
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Ajay Chopra
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Karan Mehandru
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
Canada
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Daniel Scholnick
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
|
|
|
|
|
CUSIP No. 898570 10 6
|
|
13D/A
|
|
|
|
|
|
|
|
|
|
1.
|
|
Name of
Reporting Persons
Nina C. Labatt
|
2.
|
|
Check the Appropriate Box if a Member
of a Group (see instructions)
(a) ☐ (b) ☒(1)
|
3.
|
|
SEC USE ONLY
|
4.
|
|
Source of Funds (see instructions)
WC
|
5.
|
|
Check if Disclosure of Legal
Proceedings Is Required Pursuant to Item 2(d) or 2(e)
☐
|
6.
|
|
Citizenship or Place of
Organization
United States of America
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7.
|
|
Sole Voting Power
0
|
|
8.
|
|
Shared Voting Power
0
|
|
9.
|
|
Sole Dispositive Power
0
|
|
10.
|
|
Shared Dispositive Power
0
|
11.
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
0
|
12.
|
|
Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (see instructions)
☐
|
13.
|
|
Percent of Class Represented by Amount
in Row 11
0.0%
|
14.
|
|
Type of Reporting Person (see
instructions)
IN
|
(1)
|
This Schedule 13D/A is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13D/A.
|
Explanatory Note
This Schedule 13D/A (this Schedule 13D/A) is being filed by the Reporting Persons (as defined below) to amend the Schedule 13D originally filed
with the Securities and Exchange Commission on August 5, 2014 and amended June 19, 2015, March 4, 2016 and July 7, 2016 (as amended, the Original Schedule 13D) to report the disposition of shares of Common Stock
(as defined below) of TubeMogul, Inc. (the Issuer) by the Reporting Persons. The Original Schedule 13D is hereby amended and supplemented as detailed below, and, except as specifically amended and supplemented hereby, the Original
Schedule 13D remains in full force and effect. All capitalized terms used in this Schedule 13D/A but not defined herein shall have the meanings ascribed thereto in the Original Schedule 13D.
Item 4. Purpose of Transaction
Item 4 of
the Original Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:
Pursuant to a cash tender offer conducted in
accordance with the Agreement and Plan of Merger, dated November 10, 2016, by and among the Issuer, Adobe Systems Incorporated, a Delaware corporation (Adobe) and Tiger Acquisition Corporation, a Delaware corporation and a wholly
owned subsidiary of Adobe (the Purchaser), to purchase all of the outstanding shares of Common Stock, the Reporting persons tendered , in exchange for cash consideration of $14.00 per share, all of the shares of Common Stock beneficially
owned by them as reported on the Original Schedule 13D and such shares were accepted by the Purchaser on December 19, 2016.
Item 5. Interest
in Securities of the Issuer
Item 5 of the Original Schedule 13D is hereby amended and restated in its entirety as follows:
(a)-(b) The following information with respect to the ownership of the Common Stock by the Reporting Persons filing this Schedule 13D/A is provided as of
the date of this filing:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Reporting Persons
|
|
Shares
Held
Directly (1)
|
|
|
Sole
Voting
Power (1)
|
|
|
Shared
Voting
Power (2)
|
|
|
Sole
Dispositive
Power
(1)
|
|
|
Shared
Dispositive
Power
(2)
|
|
|
Beneficial
Ownership
|
|
|
Percentage of
Class
|
|
Trinity X
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Trinity EF X
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Trinity SBS X
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Trinity TVL X (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
TVL Management (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Orr (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Fenton (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Tai (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Wang (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Nakache (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Chopra (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Mehandru (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Scholnick (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
Labatt (2)
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0
|
|
|
|
0.0
|
%
|
(1)
|
Represents the number of shares of Common Stock held by the Reporting Persons.
|
(2)
|
Trinity TVL X is the general partner of Trinity X, Trinity EF X and Trinity SBS X and has sole voting and investment power with respect to the shares held by Trinity X, Trinity EF X and Trinity SBS X. Orr, Fenton, Tai,
Wang, Nakache, Chopra, Mehandru, Scholnick, Labatt and TVL Management are management members of Trinity TVL X and may be deemed to share voting and investment power over the shares owned by Trinity X, Trinity EF X and Trinity SBS X.
|
(c) The information set forth in Item 4 hereto is incorporated herein by reference. Except as set forth in Item 4, none of the
Reporting Persons has engaged in any transaction during the past 60 days involving the Issuers Common Stock.
(d) Not applicable.
(e) As of December 19, 2016, the Reporting Persons ceased to be beneficial owners of more than 5% of the issued and outstanding Common Stock of the
Issuer. The reporting obligations of the Reporting Persons with respect to the Common Stock pursuant to Section 13(d) of the Exchange Act and the rules and regulations promulgated thereunder are therefore terminated.
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: January 9, 2017
|
|
|
TRINITY TVL X, LLC
|
|
|
By:
|
|
/s/ Nina C. Labatt
|
|
|
Nina C. Labatt, Management Member
|
|
TRINITY VENTURES X, L.P.
|
By its General Partner, Trinity TVL X, LLC
|
|
|
By:
|
|
/s/ Nina C. Labatt
|
|
|
Nina C. Labatt, Management Member
|
|
TRINITY X ENTREPRENEURS FUND, L.P.
|
By its General Partner, Trinity TVL X, LLC
|
|
|
By:
|
|
/s/ Nina C. Labatt
|
|
|
Nina C. Labatt, Management Member
|
|
TRINITY X SIDE-BY-SIDE FUND, L.P.
|
By its General Partner, Trinity TVL X, LLC
|
|
|
By:
|
|
/s/ Nina C. Labatt
|
|
|
Nina C. Labatt, Management Member
|
|
TVL MANAGEMENT CORPORATION
|
|
|
By:
|
|
/s/ Nina C. Labatt
|
|
|
Nina C. Labatt, its Chief Financial Officer
|
|
/s/ Lawrence K. Orr
|
Lawrence K. Orr
|
|
/s/ Noel J. Fenton
|
Noel J. Fenton
|
|
/s/ Augustus O. Tai
|
Augustus O. Tai
|
|
/s/ Fred Wang
|
Fred Wang
|
|
/s/ Patricia Nakache
|
Patricia Nakache
|
|
/s/ Ajay Chopra
|
Ajay Chopra
|
|
/s/ Karan Mehandru
|
Karan Mehandru
|
|
/s/ Daniel Scholnick
|
Daniel Scholnick
|
|
/s/ Nina C. Labatt
|
Nina C. Labatt
|
The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative.
If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of the filing person), evidence of the representatives authority to sign on behalf of such person shall be
filed with the statement: provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
Attention: Intentional misstatements or omissions of fact
constitute Federal criminal violations (See 18 U.S.C. 1001)
TUBEMOGUL INC (NASDAQ:TUBE)
Historical Stock Chart
From Jan 2025 to Feb 2025
TUBEMOGUL INC (NASDAQ:TUBE)
Historical Stock Chart
From Feb 2024 to Feb 2025