Home/Filings/4/0000902664-17-003528

4//SEC Filing

Dunn James A Jr 4

Accession 0000902664-17-003528

CIK 0001415624other

View on SEC.gov Company Profile

Filed

Sep 6, 8:00 PM ET

Accepted

Sep 7, 10:04 AM ET

Size

25.9 KB

Accession

0000902664-17-003528

Insider Transaction Report

Form 4

Period: 2017-08-15

YuMe IncYUME

AVI Partners, LLC

10% Owner

Transactions

Sale
Common Stock, $0.001 Par Value
2017-08-21$4.87/sh−5,000$24,362→ 550,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-18$4.81/sh−5,000$24,027→ 555,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-23$5.16/sh−15,000$77,334→ 535,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-15$4.65/sh−5,000$23,248→ 565,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-17$4.80/sh−5,000$24,015→ 560,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-28$5.38/sh−10,000$53,850→ 0 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
39,102
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
3,003,560

AVI Capital Partners, LP

10% Owner

Transactions

Sale
Common Stock, $0.001 Par Value
2017-08-15$4.65/sh−5,000$23,248→ 565,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-17$4.80/sh−5,000$24,015→ 560,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-18$4.81/sh−5,000$24,027→ 555,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-21$4.87/sh−5,000$24,362→ 550,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-23$5.16/sh−15,000$77,334→ 535,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-28$5.38/sh−10,000$53,850→ 0 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
39,102
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
3,003,560

Wallis Darren C

10% Owner

Transactions

Sale
Common Stock, $0.001 Par Value
2017-08-15$4.65/sh−5,000$23,248→ 565,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-18$4.81/sh−5,000$24,027→ 555,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-21$4.87/sh−5,000$24,362→ 550,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-28$5.38/sh−10,000$53,850→ 0 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-17$4.80/sh−5,000$24,015→ 560,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-23$5.16/sh−15,000$77,334→ 535,600 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
39,102
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
3,003,560

Dunn James A Jr

10% Owner

Transactions

Sale
Common Stock, $0.001 Par Value
2017-08-18$4.81/sh−5,000$24,027→ 555,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-17$4.80/sh−5,000$24,015→ 560,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-23$5.16/sh−15,000$77,334→ 535,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-15$4.65/sh−5,000$23,248→ 565,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-28$5.38/sh−10,000$53,850→ 0 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-21$4.87/sh−5,000$24,362→ 550,600 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
3,003,560
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
39,102

AVI MANAGEMENT, LLC

10% Owner

Transactions

Sale
Common Stock, $0.001 Par Value
2017-08-21$4.87/sh−5,000$24,362→ 550,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-15$4.65/sh−5,000$23,248→ 565,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-18$4.81/sh−5,000$24,027→ 555,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-23$5.16/sh−15,000$77,334→ 535,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-28$5.38/sh−10,000$53,850→ 0 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-17$4.80/sh−5,000$24,015→ 560,600 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
3,003,560
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
39,102

AVI Capital Yankee, LP

10% Owner

Transactions

Sale
Common Stock, $0.001 Par Value
2017-08-15$4.65/sh−5,000$23,248→ 565,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-17$4.80/sh−5,000$24,015→ 560,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-23$5.16/sh−15,000$77,334→ 535,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-21$4.87/sh−5,000$24,362→ 550,600 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-28$5.38/sh−10,000$53,850→ 0 total(indirect: By LLC)
Sale
Common Stock, $0.001 Par Value
2017-08-18$4.81/sh−5,000$24,027→ 555,600 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
39,102
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
3,003,560

Footnotes (5)

[F1]This Form 4 is filed jointly by AVI Capital Yankee, LP ("AVI Yankee"), AVI Capital Partners, LP ("AVI LP"), AVI Partners, LLC ("AVI Partners"), AVI Management, LLC ("AVI Management"), James A. Dunn, Jr., and Darren C. Wallis (collectively, the "Reporting Persons"). Each Reporting Person is a member of a reporting group. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
[F2]Shares of Common Stock held in an account managed by AVI Partners. Each of Messrs. Dunn and Wallis, as a managing partner of AVI Partners, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Partners.
[F3]Shares of Common Stock beneficially owned by AVI Yankee. AVI Partners, as the general partner of AVI Yankee, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Yankee. AVI Management, as the investment manager of AVI Yankee, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Yankee. Each of Messrs. Dunn and Wallis, as a managing partner of AVI Partners and a managing member of AVI Management, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Yankee.
[F4]Shares of Common Stock beneficially owned by AVI LP. AVI Partners, as the general partner of AVI LP, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI LP. AVI Management, as the investment manager of AVI LP, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI LP. Each of Messrs. Dunn and Wallis, as a managing partner of AVI Partners and a managing member of AVI Management, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI LP.
[F5]The owner of the managed account terminated the account and the number of shares of Common Stock reported in this column reflects that termination.

Documents

1 file

4
p17-1816form4.xmlPrimary
YUME INC

Issuer

YuMe Inc

CIK 0001415624

→

Entity typeother

Related Parties

filerCIK 0001648118

Filing Metadata

Form type: 4
Filed: Sep 6, 8:00 PM ET
Accepted: Sep 7, 10:04 AM ET
Size: 25.9 KB

View on SEC.gov