4//SEC Filing
Vertex Special Opportunities GP II, LLC 4
Accession 0000921895-15-002788
CIK 0001415624other
Filed
Dec 13, 7:00 PM ET
Accepted
Dec 14, 5:49 PM ET
Size
20.1 KB
Accession
0000921895-15-002788
Insider Transaction Report
Form 4
YuMe IncYUME
Singer Eric
10% Owner
Transactions
- Purchase
Common Stock
2015-12-10$3.12/sh+66,500$207,666→ 1,651,806 total(indirect: Vertex Special Opportunities Fund II, LP, See Footenote)
Holdings
- 2,591,733(indirect: Vertex Opportunities Fund, LP, See Footnote)
Common Stock
- 561,269(indirect: Vertex Opportunities Fund, LP - Series Two, See Footnote)
Common Stock
Transactions
- Purchase
Common Stock
2015-12-10$3.12/sh+66,500$207,666→ 1,651,806 total(indirect: Vertex Special Opportunities Fund II, LP, See Footenote)
Holdings
- 561,269(indirect: Vertex Opportunities Fund, LP - Series Two, See Footnote)
Common Stock
- 2,591,733(indirect: Vertex Opportunities Fund, LP, See Footnote)
Common Stock
Vertex Opportunities Fund, LP
10% Owner
Transactions
- Purchase
Common Stock
2015-12-10$3.12/sh+66,500$207,666→ 1,651,806 total(indirect: Vertex Special Opportunities Fund II, LP, See Footenote)
Holdings
- 2,591,733(indirect: Vertex Opportunities Fund, LP, See Footnote)
Common Stock
- 561,269(indirect: Vertex Opportunities Fund, LP - Series Two, See Footnote)
Common Stock
Vertex Capital Advisors, LLC
10% Owner
Transactions
- Purchase
Common Stock
2015-12-10$3.12/sh+66,500$207,666→ 1,651,806 total(indirect: Vertex Special Opportunities Fund II, LP, See Footenote)
Holdings
- 2,591,733(indirect: Vertex Opportunities Fund, LP, See Footnote)
Common Stock
- 561,269(indirect: Vertex Opportunities Fund, LP - Series Two, See Footnote)
Common Stock
Transactions
- Purchase
Common Stock
2015-12-10$3.12/sh+66,500$207,666→ 1,651,806 total(indirect: Vertex Special Opportunities Fund II, LP, See Footenote)
Holdings
- 561,269(indirect: Vertex Opportunities Fund, LP - Series Two, See Footnote)
Common Stock
- 2,591,733(indirect: Vertex Opportunities Fund, LP, See Footnote)
Common Stock
Transactions
- Purchase
Common Stock
2015-12-10$3.12/sh+66,500$207,666→ 1,651,806 total(indirect: Vertex Special Opportunities Fund II, LP, See Footenote)
Holdings
- 561,269(indirect: Vertex Opportunities Fund, LP - Series Two, See Footnote)
Common Stock
- 2,591,733(indirect: Vertex Opportunities Fund, LP, See Footnote)
Common Stock
Vertex GP, LLC
10% Owner
Transactions
- Purchase
Common Stock
2015-12-10$3.12/sh+66,500$207,666→ 1,651,806 total(indirect: Vertex Special Opportunities Fund II, LP, See Footenote)
Holdings
- 561,269(indirect: Vertex Opportunities Fund, LP - Series Two, See Footnote)
Common Stock
- 2,591,733(indirect: Vertex Opportunities Fund, LP, See Footnote)
Common Stock
Footnotes (5)
- [F1]This Form 4 is filed jontly by Vertex Opportunities Fund, LP ("Vertex Opportunities"), Vertex Opportunities Fund, LP - Series Two ("Series Two"), Vertex Special Opportunities II, LP ("VSO II"), Vertex GP, LLC ("Vertex GP"), Vertex Special Opportunities GP II, LLC ("VSO GP II"), Vertex Capital Advisors, LLC ("Vertex Capital"), and Eric Singer (collectively, the "Reporting Persons") who are filing this report because each of the Reporting Persons is a member of a Section 13(d) group, disclosed in a Schedule 13D filed on behalf of the Reporting Persons, as it may be amended, which beneficially owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. On June 17, 2015, Vertex Opportunities became a series limited partnership and such shares reported by it in this report are deemed to be held in Vertex Opportunities Fund, LP - Series One.
- [F2]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.
- [F3]Shares of Common Stock beneficially owned directly by Vertex Opportunities. Vertex GP, as the general partner of Vertex Opportunities, may be deemed thebeneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities. Vertex Capital, as the investment manager of Vertex Opportunities, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities. Mr. Singer, as the managing member of each of Vertex GP and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities.
- [F4]Shares of Common Stock beneficially owned directly by Series Two. Vertex GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Vertex Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series II. Mr. Singer, as the managing member of each of Vertex GP and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Series Two is a series of Vertex Opportunities.
- [F5]Shares of Common Stock beneficially owned directly by VSO II. VSO GP II, as the general partner of VSO II, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II. Vertex Capital, as the investment manager of VSO II, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II. Mr. Singer, as the managing member of each of VSO GP II and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II.
Documents
Issuer
YuMe Inc
CIK 0001415624
Entity typeother
Related Parties
1- filerCIK 0001658891
Filing Metadata
- Form type
- 4
- Filed
- Dec 13, 7:00 PM ET
- Accepted
- Dec 14, 5:49 PM ET
- Size
- 20.1 KB