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<p style="text-align:center;margin-top:8pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">UNITED STATES </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SECURITIES AND EXCHANGE COMMISSION </p>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">FORM 8-K </p>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">CURRENT REPORT </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Pursuant to Section 13 or 15(d) of </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">The Securities Exchange Act of 1934 </p>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">December 23, 2015</p>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:24pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">TubeMogul, Inc. </p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(IRS Employer<br>Identification No.)</p></td>
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<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">1250 53rd Street, Suite 2</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Emeryville, California 94608 </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Address of principal executive offices, including zip code) </p>
<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(510) 653-0126 </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Registrant&#8217;s telephone number, including area code) </p>
<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0.74%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Not Applicable </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:8pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Former name or former address, if changed since last report) </p>
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<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): </p>
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<p style="margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><br></p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 1.01 Entry into a Material Definitive Agreement.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#333333;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="Background-color:#FFFFFF;">On December 23, 2015, TubeMogul,&#160;Inc., a Delaware corporation (the &#8220;Company&#8221;), entered into a Second Amendment to Amended and Restated Loan and Security Agreement with Silicon Valley Bank (&#8220;SVB&#8221;) (the &#8220;Amendment&#8221;).&#160;The Amendment amended certain terms of the Amended and Restated Loan and Security Agreement, dated August 21, 2013, by and between the Company and SVB, as amended, which provides for </font><font style="color:#000000;">a growth capital facility and a revolving line of credit</font><font style="Background-color:#FFFFFF;"> from SVB to the Company. Among other things, the Amendment (1)&#160;increases the amount of the revolving line of credit to $40,000,000 from $35,000,000 and extends its maturity date from April 1, 2016 to April 1, 2017, (2) establishes a new $5,000,000 capital equipment financing facility, and (3) adds a new adjusted quick ratio covenant that applies in the event revenue falls below specified thresholds.&#160;The foregoing description of the Amendment does not purport to be complete and is qualified in its entirety by reference to the full and complete terms of the Amendment, a copy of which is filed herewith as Exhibit 10.1 and is incorporated herein by reference.</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:3.42%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;color:#000000;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="Background-color:#FFFFFF;">The information regarding the Amendment as set forth in Item&#160;1.01 of this Form 8-K is incorporated herein by reference.</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 9.01 <font style="Background-color:#FFFFFF;color:#000000;">Financial Statements and </font>Exhibits.</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;color:#333333;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="Background-color:#FFFFFF;">Second Amendment to Amended and Restated Loan and Security Agreement entered into as of December 23, 2015 by and between the Company and SVB.</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;">&nbsp;</p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0.74%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU2"></a><font style="font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SIGNATURES </font></p>
<p style="margin-top:12pt;margin-bottom:0pt;text-indent:5.36%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. </p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;text-align:left;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">/s/ Paul Joachim</p></td>
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<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Date: December 28, 2015</p>
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tube-8k_20151223.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported)
December 23, 2015
TubeMogul, Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-36543
51-0633881
(State or other jurisdiction of
incorporation)
(Commission File Number)
(IRS Employer
Identification No.)
1250 53rd Street, Suite 2
Emeryville, California 94608
(Address of principal executive offices, including zip code)
(510) 653-0126
(Registrant's telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 1.01 Entry into a Material Definitive Agreement.
On December 23, 2015, TubeMogul, Inc., a Delaware corporation (the "Company"), entered into a Second Amendment to Amended and Restated Loan and Security Agreement with Silicon Valley Bank ("SVB") (the "Amendment"). The Amendment amended certain terms of the Amended and Restated Loan and Security Agreement, dated August 21, 2013, by and between the Company and SVB, as amended, which provides for
a growth capital facility and a revolving line of credit
from SVB to the Company. Among other things, the Amendment (1) increases the amount of the revolving line of credit to $40,000,000 from $35,000,000 and extends its maturity date from April 1, 2016 to April 1, 2017, (2) establishes a new $5,000,000 capital equipment financing facility, and (3) adds a new adjusted quick ratio covenant that applies in the event revenue falls below specified thresholds. The foregoing description of the Amendment does not purport to be complete and is qualified in its entirety by reference to the full and complete terms of the Amendment, a copy of which is filed herewith as Exhibit 10.1 and is incorporated herein by reference.
Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
The information regarding the Amendment as set forth in Item 1.01 of this Form 8-K is incorporated herein by reference.
Item 9.01
Financial Statements and
Exhibits.
d)
Exhibits.
Exhibit No.
Description
10.1
Second Amendment to Amended and Restated Loan and Security Agreement entered into as of December 23, 2015 by and between the Company and SVB.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
TUBEMOGUL, INC.
By:
/s/ Paul Joachim
Paul Joachim
Chief Financial Officer
Date: December 28, 2015