4//SEC Filing
YuMe Inc 4
Accession 0001140361-16-089900
CIK 0001415624operating
Filed
Dec 14, 7:00 PM ET
Accepted
Dec 15, 9:01 PM ET
Size
13.4 KB
Accession
0001140361-16-089900
Insider Transaction Report
Form 4
YuMe IncYUME
KADAMBI JAYANT
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
Issuer
YuMe Inc
CIK 0001415624
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001415624
Filing Metadata
- Form type
- 4
- Filed
- Dec 14, 7:00 PM ET
- Accepted
- Dec 15, 9:01 PM ET
- Size
- 13.4 KB