4//SEC Filing
CARVALHO ANTHONY 4
Accession 0001437749-17-015648
CIK 0001415624other
Filed
Sep 5, 8:00 PM ET
Accepted
Sep 6, 9:24 PM ET
Size
13.6 KB
Accession
0001437749-17-015648
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.
Documents
Issuer
YuMe Inc
CIK 0001415624
Entity typeother
Related Parties
1- filerCIK 0001607173
Filing Metadata
- Form type
- 4
- Filed
- Sep 5, 8:00 PM ET
- Accepted
- Sep 6, 9:24 PM ET
- Size
- 13.6 KB