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NEWS CORP — Director's Dealing 2014
Apr 1, 2014
30325_rns_2014-04-01_a9c0f65b-bb9d-4966-9200-d31ad165bbcc.pdf
Director's Dealing
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number: 3235-0104 Estimated average burden hours per response... 0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
(Print or Type Responses)
| Print or Type Responses) | Print or Type Responses) | ||||||
|---|---|---|---|---|---|---|---|
| 1. Name and Address of Reporting Person* | 2. Date of Event Requiring Statement | 3. Issuer Name | andTicker or Trading Symbol | ||||
| NEWS CORP | (Month/Day/Year) | The Rubicon Project, Inc. [RUBI] | |||||
| 04/01/2014 | |||||||
| 1211 Avenue of the Americas (Last) (First) |
(Middle) | 4. Relationship | of Reporting Person(s) to Issuer (Check all applicable) |
5. If Amendment, Date of Original Filed (Month/Day/Year) |
|||
| (Street) | _____ Director | X 10% Owner | 6. Individual or Joint/Group Filing (Check Applicable | ||||
| _____ Officer (give | title below) _____ Other (specify below) |
Line) | |||||
| New York, NY 10036 | X Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
||||||
| (City) | (State) | (Zip) | Table I - Non-Derivative Securities Beneficially Owned | ||||
| 1.Title of Security | 2. Amount of Securities Beneficially | 3. Ownership Form: |
4. Nature |
of Indirect Beneficial Ownership | |||
| (Instr. 4) | Owned | Direct (D) or | (Instr. 5) | ||||
| (Instr. 4) | Indirect (I) | ||||||
| (Instr. 5) | |||||||
| Class B Common Stock(1) (2) |
4,190,063 | D |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
SEC 1473 (7-02)
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.
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
| 1. Title of Derivative Security | 2. Date Exercisable | 3. Title and Amount | of Securities | 4. Conversion or | 5. Ownership Form | 6. Nature of Indirect Beneficial |
|---|---|---|---|---|---|---|
| (Instr. 4) | and Expiration Date | Underlying Derivative Security | Exercise Price of | of Derivative | Ownership | |
| (Month/Day/Year) | (Instr. 4) | Derivative Security | Security: Direct | (Instr. 5) | ||
| Date Exercisable Expiration Date |
Title | Amount or Number of Shares |
(D) or Indirect (I) (Instr. 5) |
|||
| Class A | ||||||
| Series D Convertible Preferred Stock | (3) (3) |
Common Stock | 1,406,062 | (3) | D | |
| (2) |
Reporting Owners
| Reporting Owners | |
|---|---|
| Reporting Owner Name / Address | Relationships Director 10% Owner Officer Other |
| NEWS CORP | |
| 1211 Avenue of the Americas | X |
| New York, NY 10036 |
/s/ Michael L. Bunder, Senior Vice President, Deputy General Counsel and Corporate Secretary
Signatures
04/01/2014
**Signature of Reporting Person
Date
Explanation of Responses:
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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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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(1)[The Class B Common Stock will automatically convert into Class A Common Stock on a one-for-one basis immediately prior to the completion of the initial public offering of The Rubicon Project, Inc.'s ] (the "Issuer") Common Stock.
Pursuant to the Sixth Amended and Restated Certificate of Incorporation (the "A&R Charter") of the Issuer to be filed immediately prior to the completion of the Issuer's initial public offering, effective
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upon the filing of the A&R Charter each share of Class A Common Stock (including each share of Class A Common Stock issued upon the conversion of shares of the Company's Series D Convertible
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(2) Preferred Stock upon completion of the Issuer's initial public offering ), and each share of Class B Common Stock that is issued and outstanding and has not been converted into Class A Common Stock, will be automatically reclassified and converted into one share of a single class of Common Stock.
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(3)[The Series D Convertible Preferred Stock will automatically convert into 1/2 of a share of Class A Common Stock upon completion of the Issuer's initial public offering of its Common Stock. The ] Convertible Preferred Stock has no expiration date.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.