Earnings Feed
Start Free
Home/Filings/4/0000921895-16-003242
4//SEC Filing

VIEX Special Opportunities GP II, LLC 4

Accession 0000921895-16-003242

CIK 0001415624other
View on SEC.govCompany Profile

Filed

Feb 9, 7:00 PM ET

Accepted

Feb 10, 5:36 PM ET

Size

22.5 KB

Accession

0000921895-16-003242

Insider Transaction Report

Form 4
Period: 2016-02-08
YuMe IncYUME
Vertex GP, LLC
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-02-08$3.02/sh+116,500$352,051→ 2,046,601 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
  • Purchase

    Common Stock

    2016-02-09$2.93/sh+99,900$292,477→ 2,146,501 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
Holdings

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series Two, See Footnote)
    561,269

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series One, See Footnote)
    2,591,733
Vertex Special Opportunities Fund II, LP
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-02-08$3.02/sh+116,500$352,051→ 2,046,601 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
  • Purchase

    Common Stock

    2016-02-09$2.93/sh+99,900$292,477→ 2,146,501 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
Holdings

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series Two, See Footnote)
    561,269

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series One, See Footnote)
    2,591,733
Vertex Special Opportunities GP II, LLC
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-02-08$3.02/sh+116,500$352,051→ 2,046,601 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
  • Purchase

    Common Stock

    2016-02-09$2.93/sh+99,900$292,477→ 2,146,501 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
Holdings

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series Two, See Footnote)
    561,269

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series One, See Footnote)
    2,591,733
Vertex Capital Advisors, LLC
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-02-08$3.02/sh+116,500$352,051→ 2,046,601 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
  • Purchase

    Common Stock

    2016-02-09$2.93/sh+99,900$292,477→ 2,146,501 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
Holdings

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series Two, See Footnote)
    561,269

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series One, See Footnote)
    2,591,733
Vertex Opportunities Fund, LP Series Two
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-02-08$3.02/sh+116,500$352,051→ 2,046,601 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
  • Purchase

    Common Stock

    2016-02-09$2.93/sh+99,900$292,477→ 2,146,501 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
Holdings

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series One, See Footnote)
    2,591,733

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series Two, See Footnote)
    561,269
Singer Eric
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-02-08$3.02/sh+116,500$352,051→ 2,046,601 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
  • Purchase

    Common Stock

    2016-02-09$2.93/sh+99,900$292,477→ 2,146,501 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
Holdings

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series Two, See Footnote)
    561,269

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series One, See Footnote)
    2,591,733
Vertex Opportunities Fund, LP
10% Owner
Transactions
  • Purchase

    Common Stock

    2016-02-08$3.02/sh+116,500$352,051→ 2,046,601 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
  • Purchase

    Common Stock

    2016-02-09$2.93/sh+99,900$292,477→ 2,146,501 total(indirect: VIEX Special Opportunities Fund II, LP, See Footnote)
Holdings

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series Two, See Footnote)
    561,269

  • Common Stock

    (indirect: VIEX Opportunities Fund, LP - Series One, See Footnote)
    2,591,733
Footnotes (5)
  • [F1]This Form 4 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP ("VIEX Opportunities"), a series limited partnership, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities, VIEX Special Opportunities II, LP ("VSO II"), VIEX GP, LLC ("VIEX GP"), VIEX Special Opportunities GP II, LLC ("VSO GP II"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons").
  • [F2]The Reporting Persons 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. 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 Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One.
  • [F4]Shares of Common Stock beneficially owned directly by Series Two. VIEX 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. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two.
  • [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. VIEX 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 VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II.

Documents

1 file

Issuer

YuMe Inc

CIK 0001415624

→
Entity typeother

Related Parties

1
  • filerCIK 0001658891

Filing Metadata

Form type
4
Filed
Feb 9, 7:00 PM ET
Accepted
Feb 10, 5:36 PM ET
Size
22.5 KB
View on SEC.gov