Ristow Dave's Form 4 filing
Qumu Corp (QUMU) · filed Sep 3, 2021
- Accession no.
- 0001615594-21-000097
- Filed
- Sep 3, 2021
- Trade date
- Sep 1-2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $525.6K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Ristow DaveCIK 0001721474 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | SSaleDisposed | −45,079 | $2.92F1 | −$131,630.68 | 0 | Direct | |
| Sep 1, 2021 | Common Stock | MOption exerciseAcquired | +25,000 | $2.28 | +$57,000 | 25,000 | Direct | |
| Sep 1, 2021 | Common Stock | MOption exerciseAcquired | +12,500 | $2.13 | +$26,625 | 37,500 | Direct | |
| Sep 1, 2021 | Common Stock | SSaleDisposed | −37,500 | $2.88F2 | −$108,000 | 0 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseAcquired | +100,000 | $2.13 | +$213,000 | 100,000 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −100,000 | $2.86F3 | −$286,000 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 0 | Direct | |
| Sep 1, 2021 | Common Stock | MOption exerciseDisposed | −12,500 | $0.00 | $0 | 0 | Direct | |
| Sep 2, 2021 | Common Stock | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average. The shares were sold in multiple transactions at prices ranging from $2.81 to $3.101, inclusive.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average. The shares were sold in multiple transactions at prices ranging from $2.83 to $2.965, inclusive.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average. The shares were sold in multiple transactions at prices ranging from $2.81 to $2.95, inclusive.
Referenced by the price of 1 transaction in Table I.