4//SEC Filing
YuMe Inc 4
Accession 0000921895-15-001785
CIK 0001415624operating
Filed
Jul 22, 8:00 PM ET
Accepted
Jul 23, 8:46 AM ET
Size
17.8 KB
Accession
0000921895-15-001785
Insider Transaction Report
Form 4
YuMe IncYUME
AVI Capital Partners, LP
10% Owner
Transactions
- Purchase
Common Stock, $0.001 Par Value
2015-07-22$5.20/sh+30,600$159,080→ 570,600 total(indirect: By LLC)
Holdings
- 3,003,560(indirect: By AVI Capital Yankee, LP)
Common Stock, $0.001 Par Value
- 72,433(indirect: By AVI Capital Partners, LP)
Common Stock, $0.001 Par Value
AVI Partners, LLC
10% Owner
Transactions
- Purchase
Common Stock, $0.001 Par Value
2015-07-22$5.20/sh+30,600$159,080→ 570,600 total(indirect: By LLC)
Holdings
- 3,003,560(indirect: By AVI Capital Yankee, LP)
Common Stock, $0.001 Par Value
- 72,433(indirect: By AVI Capital Partners, LP)
Common Stock, $0.001 Par Value
Dunn James A Jr
10% Owner
Transactions
- Purchase
Common Stock, $0.001 Par Value
2015-07-22$5.20/sh+30,600$159,080→ 570,600 total(indirect: By LLC)
Holdings
- 72,433(indirect: By AVI Capital Partners, LP)
Common Stock, $0.001 Par Value
- 3,003,560(indirect: By AVI Capital Yankee, LP)
Common Stock, $0.001 Par Value
Wallis Darren C
10% Owner
Transactions
- Purchase
Common Stock, $0.001 Par Value
2015-07-22$5.20/sh+30,600$159,080→ 570,600 total(indirect: By LLC)
Holdings
- 72,433(indirect: By AVI Capital Partners, LP)
Common Stock, $0.001 Par Value
- 3,003,560(indirect: By AVI Capital Yankee, LP)
Common Stock, $0.001 Par Value
AVI Capital Yankee, LP
10% Owner
Transactions
- Purchase
Common Stock, $0.001 Par Value
2015-07-22$5.20/sh+30,600$159,080→ 570,600 total(indirect: By LLC)
Holdings
- 3,003,560(indirect: By AVI Capital Yankee, LP)
Common Stock, $0.001 Par Value
- 72,433(indirect: By AVI Capital Partners, LP)
Common Stock, $0.001 Par Value
AVI MANAGEMENT, LLC
10% Owner
Transactions
- Purchase
Common Stock, $0.001 Par Value
2015-07-22$5.20/sh+30,600$159,080→ 570,600 total(indirect: By LLC)
Holdings
- 3,003,560(indirect: By AVI Capital Yankee, LP)
Common Stock, $0.001 Par Value
- 72,433(indirect: By AVI Capital Partners, LP)
Common Stock, $0.001 Par Value
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 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 $5.16 to $5.21. 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 range set forth in this footnote 5.
Documents
Issuer
YuMe Inc
CIK 0001415624
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001415624
Filing Metadata
- Form type
- 4
- Filed
- Jul 22, 8:00 PM ET
- Accepted
- Jul 23, 8:46 AM ET
- Size
- 17.8 KB