CARVALHO ANTHONY 4
4 · YuMe Inc · Filed Sep 6, 2017
Insider Transaction Report
Form 4
YuMe IncYUME
CARVALHO ANTHONY
CHIEF FINANCIAL OFFICER
Transactions
- Exercise/Conversion
Common Stock
2017-09-03+12,124→ 127,099 total - Exercise/Conversion
Restricted Stock Units
2017-09-03−12,124→ 60,622 total→ Common Stock (12,124 underlying) - Exercise/Conversion
Common Stock
2017-09-02+17,983→ 121,734 total - Tax Payment
Common Stock
2017-09-02$5.16/sh−6,759$34,876→ 114,975 total - Tax Payment
Common Stock
2017-09-03$5.16/sh−4,557$23,514→ 122,542 total - Exercise/Conversion
Restricted Stock Units
2017-09-02−17,983→ 53,950 total→ Common Stock (17,983 underlying)
Footnotes (4)
- [F1]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.
- [F2]Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- [F3]The restricted stock units vest over three years in six equal installments every 6 months commencing on September 2, 2016. Shares of the Issuer's common stock will be delivered to the reporting person upon vesting.
- [F4]The restricted stock units vest over three years in six equal installments every 6 months commencing on September 3, 2017. Shares of the Issuer's common stock will be delivered to the reporting person upon vesting.