# EDGAR Filing Document

**Accession Number:** 0001642389
**File Stem:** 0000919574-23-000924
**Filing Date:** 2023-2
**Character Count:** 7233
**Document Hash:** 0bf53db031a7e94a806dbdbb877506da
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000919574-23-000924.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0000919574-23-000924

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230207

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230210

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** LUCAS KENAN
- **CENTRAL INDEX KEY:** 0001642389

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-20728
- **FILM NUMBER:** 23613828

**MAIL ADDRESS:**
- **STREET 1:** C/O HARBERT MANAGEMENT CORPORATION
- **STREET 2:** 2100 THIRD AVENUE NORTH, SUITE 600
- **CITY:** BIRMINGHAM
- **STATE:** AL
- **ZIP:** 35203
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Qumu Corp
- **CENTRAL INDEX KEY:** 0000892482
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **IRS NUMBER:** 411577970
- **STATE OF INCORPORATION:** MN
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 400 SOUTH 4TH STREET
- **STREET 2:** SUITE 401-412
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55415
- **BUSINESS PHONE:** (612) 638-9100

**MAIL ADDRESS:**
- **STREET 1:** 400 SOUTH 4TH STREET
- **STREET 2:** SUITE 401-412
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55415

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RIMAGE CORP
- **DATE OF NAME CHANGE:** 19930328

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>LUCAS KENAN<br><sub>(Last) (First) (Middle)</sub><br>2100 THIRD AVENUE NORTH, SUITE 600<br><sub>(Street)</sub><br>BIRMINGHAM, AL 35203<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-07 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Qumu Corp [ QUMU ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.01 par value | 2023-02-07 |  | U |  | 58066 | D | $0.9 | 0 | I | See footnote<sup>(1)</sup> |
| Common Stock, $0.01 par value | 2023-02-07 |  | U |  | 1695785 | D | $0.9 | 0 | I | See footnote<sup>(2)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(3)</sup> | 2023-02-08 |  | D |  |  | 25000 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock, $0.01 par value | 25000 | 0.9<sup>(4)</sup> | 0 | I<sup>(5)</sup> | See footnote<sup>(5)</sup> |
| Restricted Stock Units | <sup>(3)</sup> | 2023-02-08 |  | D |  |  | 17353 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock, $0.01 par value | 17353 | 0.9<sup>(4)</sup> | 0 | I<sup>(5)</sup> | See footnote<sup>(5)</sup> |

---

### Footnotes:

(1) These shares were received by Kenan Lucas in lieu of a portion of his annual board compensation, were assigned to Harbert Fund Advisors, Inc. ("HFA"), and were held in an affiliated brokerage account for the benefit of the investors of Harbert Discovery Fund, LP (the "Fund").

(2) These shares were held by the Fund. Mr. Lucas may be deemed to beneficially own these shares through his role as the managing director and portfolio manager of the Fund's general partner.

(3) Each restricted stock unit represents the contingent right to receive one share of Qumu common stock.

(4) The restricted stock units were converted into the right to receive an amount in cash equal to $0.9 multiplied by the aggregate number of shares of common stock subject to such restricted stock award or RSU award. The foregoing description does purport to be complete and is subject to and qualified in its entirety by reference to the Issuer's SC 14D9 filed on January 6, 2023, which is incorporated herein by reference.

(5) The restricted stock units were held for the benefit of the investors of the Fund.

**Signature:** /s/ Kenan Lucas  
**Date:** 2023-02-10

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**