0001209191-20-060016.txt : 20201123 0001209191-20-060016.hdr.sgml : 20201123 20201123173414 ACCESSION NUMBER: 0001209191-20-060016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201119 FILED AS OF DATE: 20201123 DATE AS OF CHANGE: 20201123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALBERG KATHRYN E CENTRAL INDEX KEY: 0001206977 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37879 FILM NUMBER: 201339162 MAIL ADDRESS: STREET 1: C/O AXOVANT SCIENCES, INC. STREET 2: 320 WEST 37TH STREET, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Trade Desk, Inc. CENTRAL INDEX KEY: 0001671933 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 271887399 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 42 N. CHESTNUT STREET CITY: VENTURA STATE: CA ZIP: 93001 BUSINESS PHONE: (805) 585-3434 MAIL ADDRESS: STREET 1: 42 N. CHESTNUT STREET CITY: VENTURA STATE: CA ZIP: 93001 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-11-19 0 0001671933 Trade Desk, Inc. TTD 0001206977 FALBERG KATHRYN E C/O THE TRADE DESK, INC. 42 NORTH CHESTNUT STREET VENTURA CA 93001 1 0 0 0 Class A Common Stock 2020-11-19 4 C 0 20000 0.00 A 22641 D Class A Common Stock 2020-11-19 4 S 0 232 806.63 D 22409 D Class A Common Stock 2020-11-19 4 S 0 795 807.84 D 21614 D Class A Common Stock 2020-11-19 4 S 0 1853 809.03 D 19761 D Class A Common Stock 2020-11-19 4 S 0 2852 810.19 D 16909 D Class A Common Stock 2020-11-19 4 S 0 5670 811.00 D 11239 D Class A Common Stock 2020-11-19 4 S 0 200 811.68 D 11039 D Class A Common Stock 2020-11-19 4 S 0 891 813.04 D 10148 D Class A Common Stock 2020-11-19 4 S 0 10 814.00 D 10138 D Class A Common Stock 2020-11-19 4 S 0 1891 815.00 D 8247 D Class A Common Stock 2020-11-19 4 S 0 4139 818.15 D 4108 D Class A Common Stock 2020-11-19 4 S 0 825 819.06 D 3283 D Class A Common Stock 2020-11-19 4 S 0 13 820.00 D 3270 D Class A Common Stock 2020-11-19 4 S 0 629 822.00 D 2641 D Class A Common Stock 20000 I By Trust Class A Common Stock 20000 I By Family Trust Employee Stock Option (Right to Buy) 18.03 2020-11-19 4 M 0 20000 0.00 D 2026-08-02 Class B Common Stock 20000 10303 D Class B Common Stock 0.00 2020-11-19 4 M 0 20000 0.00 A Class A Common Stock 20000 20000 D Class B Common Stock 0.00 2020-11-19 4 C 0 20000 0.00 D Class A Common Stock 20000 0 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $806.22 to $807.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $807.26 to $808.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $808.55 to $809.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $809.55 to $810.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $810.56 to $811.37, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $811.62 to $811.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $813.00 to $813.40, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $818.00 to $818.94, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $819.00 to $819.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The option was granted on August 3, 2016 (the "Grant Date"). One-fourth (1/4th) of the shares subject to the option vest on the first anniversary of the Grant Date, with one forty-eighth (1/48th ) of the shares subject to the original grant vesting on each monthly anniversary thereafter, subject to continued service as a director of the Issuer through the applicable vesting dates. Each share of Class B Common Stock has no expiration date and is convertible for no additional consideration into one (1) share of Class A Common Stock at the option of the holder thereof at any time and upon certain other circumstances. /s/ Alfred Palomino, Attorney-in-Fact for Kathryn E. Falberg 2020-11-23