SANKARAN AYYAPPAN 4

4 · YuMe Inc · Filed Sep 6, 2017

Form 4

Period: 2016-02-19

DirectorEVP, ENGINEERING & CTO

Transactions

Exercise/Conversion
Restricted Stock Units
2017-09-02−17,083→ 51,250 total
→ Common Stock (17,083 underlying)
Exercise/Conversion
Common Stock
2017-09-02+17,083→ 188,843 total
Exercise/Conversion
Restricted Stock Units
2017-09-03−13,030→ 65,149 total
→ Common Stock (9,690 underlying)
Tax Payment
Common Stock
2017-09-02$5.16/sh−6,420$33,127→ 182,423 total
Other
Common Stock
2016-02-19$2.28/sh+5,000$11,390→ 171,760 total
Exercise/Conversion
Common Stock
2017-09-03+13,030→ 195,453 total
Tax Payment
Common Stock
2017-09-03$5.16/sh−4,897$25,269→ 190,556 total

Holdings

Footnotes (5)

[F1]These shares were acquired under the Issuer's Employee Stock Purchase Plan in transactions that were exempt under Rule 16b-3(c).
[F2]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.
[F3]Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
[F4]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.
[F5]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

1 file