Home/Filings/4/0000921895-15-001777

4//SEC Filing

YuMe Inc 4

Accession 0000921895-15-001777

CIK 0001415624operating

View on SEC.gov Company Profile

Filed

Jul 19, 8:00 PM ET

Accepted

Jul 20, 8:00 PM ET

Size

21.7 KB

Accession

0000921895-15-001777

Insider Transaction Report

Form 4

Period: 2015-07-16

YuMe IncYUME

AVI MANAGEMENT, LLC

10% Owner

Transactions

Purchase
Common Stock, $0.001 Par Value
2015-07-17$5.38/sh+124,806$671,244→ 418,200 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-20$5.40/sh+121,800$657,440→ 540,000 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-16$5.40/sh+21,572$116,582→ 293,394 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
72,433
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Yankee, LP)
3,003,560

AVI Capital Partners, LP

10% Owner

Transactions

Purchase
Common Stock, $0.001 Par Value
2015-07-16$5.40/sh+21,572$116,582→ 293,394 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-17$5.38/sh+124,806$671,244→ 418,200 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-20$5.40/sh+121,800$657,440→ 540,000 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Yankee, LP)
3,003,560
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
72,433

AVI Capital Yankee, LP

10% Owner

Transactions

Purchase
Common Stock, $0.001 Par Value
2015-07-17$5.38/sh+124,806$671,244→ 418,200 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-16$5.40/sh+21,572$116,582→ 293,394 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-20$5.40/sh+121,800$657,440→ 540,000 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Yankee, LP)
3,003,560
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
72,433

Wallis Darren C

10% Owner

Transactions

Purchase
Common Stock, $0.001 Par Value
2015-07-16$5.40/sh+21,572$116,582→ 293,394 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-17$5.38/sh+124,806$671,244→ 418,200 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-20$5.40/sh+121,800$657,440→ 540,000 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Yankee, LP)
3,003,560
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
72,433

AVI Partners, LLC

10% Owner

Transactions

Purchase
Common Stock, $0.001 Par Value
2015-07-20$5.40/sh+121,800$657,440→ 540,000 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-16$5.40/sh+21,572$116,582→ 293,394 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-17$5.38/sh+124,806$671,244→ 418,200 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Yankee, LP)
3,003,560
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
72,433

Dunn James A Jr

10% Owner

Transactions

Purchase
Common Stock, $0.001 Par Value
2015-07-16$5.40/sh+21,572$116,582→ 293,394 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-20$5.40/sh+121,800$657,440→ 540,000 total(indirect: By LLC)
Purchase
Common Stock, $0.001 Par Value
2015-07-17$5.38/sh+124,806$671,244→ 418,200 total(indirect: By LLC)

Holdings

Common Stock, $0.001 Par Value
(indirect: By AVI Capital Yankee, LP)
3,003,560
Common Stock, $0.001 Par Value
(indirect: By AVI Capital Partners, LP)
72,433

Footnotes (7)

[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 that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. 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 price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.33 to $5.45. The Reporting Persons undertake 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 purchased at each separate price within the ranges set forth in foonotes 5, 6 and 7 to this Form 4.
[F6]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.30 to $5.44.
[F7]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.3380 to $5.43.

Documents

1 file

4
form409789003_07202015.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

YuMe Inc

CIK 0001415624

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001415624

Filing Metadata

Form type: 4
Filed: Jul 19, 8:00 PM ET
Accepted: Jul 20, 8:00 PM ET
Size: 21.7 KB

View on SEC.gov