Statement of Changes in Beneficial Ownership (4)
February 16 2017 - 5:53PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Day William C
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2. Issuer Name
and
Ticker or Trading Symbol
TREMOR VIDEO INC.
[
TRMR
]
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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)
C/O TREMOR VIDEO, INC.,, 1501 BROADWAY, 8TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/13/2017
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(Street)
NEW YORK, NY 10036
(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
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2/13/2017
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M
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15626
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A
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(1)
(2)
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139537
(3)
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D
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Common Stock
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2/13/2017
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F
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7322
(4)
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D
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$2.24
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132215
(3)
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D
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Common Stock
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2/14/2017
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M
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92482
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A
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(5)
(6)
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224697
(3)
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D
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Common Stock
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2/14/2017
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F
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43345
(4)
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D
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$2.25
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181352
(3)
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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(1)
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2/13/2017
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M
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7813
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(1)
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(1)
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Common Stock
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7813
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$0.00
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15624
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D
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Restricted Stock Unit
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(2)
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2/13/2017
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M
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7813
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(2)
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(2)
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Common Stock
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7813
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$0.00
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15624
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D
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Restricted Stock Unit
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(5)
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2/14/2017
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M
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17482
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(5)
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(5)
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Common Stock
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17483
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$0.00
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17481
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D
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Restricted Stock Unit
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(6)
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2/14/2017
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M
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75000
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(6)
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(6)
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Common Stock
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75000
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$0.00
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225000
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D
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Explanation of Responses:
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(
1)
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On February 23, 2015, the reporting person was granted 31,250 restricted stock units, with each unit representing the right to receive one share of the issuer's common stock. An additional 25% of the total shares underlying the restricted stock unit vested on February 13, 2017 and were issued on February 13, 2017. The remaining restricted stock units will vest 25% on each of February 13, 2018 and February 13, 2019, subject to continued service to the issuer through each vesting date.
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(
2)
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On May 29, 2015, the reporting person was granted 31,250 restricted stock units, with each unit representing the right to receive one share of the issuer's common stock. An additional 25% of the total shares underlying the restricted stock unit vested on February 13, 2017 and were issued on February 13, 2017. The remaining restricted stock units will vest 25% on each of February 13, 2018 and February 13, 2019, subject to continued service to the issuer through each vesting date.
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(
3)
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Includes 5,000 shares acquired by the reporting person under the Tremor Video, Inc. 2014 Employee Stock Purchase Plan (the "ESPP") on August 26, 2016. The purchase price per share of common stock sold in an offering under the ESPP is the lower of 85% of the fair market value of a share of common stock on (i) the first day of the offering period, and (ii) the purchase date.
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(
4)
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Represents shares withheld to satisfy tax obligations upon the vesting of restricted stock units.
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(
5)
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On February 24, 2014, the reporting person was granted 69,930 restricted stock units, with each unit representing the right to receive one share of the issuer's common stock. An additional 25% of the total shares underlying the restricted stock unit vested on February 14, 2017 and were issued on February 14, 2017. The remaining restricted stock units will vest on February 14, 2018, subject to continued service to the issuer through each vesting date.
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(
6)
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On March 7, 2016, the reporting person was granted 300,000 restricted stock units, with each unit representing the right to receive one share of the issuer's common stock. 25% of the total shares underlying the restricted stock unit vested on February 14, 2017 and were issued on February 14, 2017. The remaining restricted stock units will vest 25% on each of February 14, 2018, February 14, 2019 and February 14, 2020, subject to continued service to the issuer through each vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Day William C
C/O TREMOR VIDEO, INC.,
1501 BROADWAY, 8TH FLOOR
NEW YORK, NY 10036
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X
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Signatures
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/s/Adam Lichstein, Attorney-in-Fact
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2/16/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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