YuMe Inc 4

4 · YuMe Inc · Filed Dec 15, 2016

Form 4

Period: 2016-12-14

DirectorCHAIRMAN, PRESIDENT, & CEO

Transactions

Exercise/Conversion
Common Stock
2016-12-14+12,500→ 903,748 total
Exercise/Conversion
Common Stock
2016-12-14+64,313→ 968,061 total
Exercise/Conversion
Restricted Stock Units
2016-12-14−12,500→ 0 total
→ Common Stock (12,500 underlying)
Exercise/Conversion
Restricted Stock Units
2016-12-14−64,313→ 0 total
→ Common Stock (64,313 underlying)
Tax Payment
Common Stock
2016-12-14$3.61/sh−32,203$116,253→ 935,858 total

Footnotes (7)

[F1]Represents 25% of unvested restricted stock units ("RSUs") underlying an award granted to the Reporting Person on February 26, 2015 that have vested pursuant to a separation agreement and release entered into by and between the Reporting Person and the Issuer on December 6, 2016 (the "Separation Agreement").
[F2]Represents 25% of unvested RSUs underlying an award granted to the Reporting Person on March 2, 2016 that have vested pursuant to the Separation Agreement.
[F3]Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. No shares have been sold. All of the shares reported as disposed on this Form 4 are withheld by the Issuer to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units.
[F4]Each RSU represents a contingent right to receive one share of the Issuer's common stock.
[F5]The RSUs were subject to vesting over two years in four equal installments every six months commencing on the grant date.
[F6]Pursuant to the Separation Agreement, any remaining unvested RSUs were cancelled by the Issuer.
[F7]The RSUs were subject to vesting over three years in six equal installments every six months commencing on the grant date.

Documents

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