4//SEC Filing
CARVALHO ANTHONY 4
Accession 0001437749-18-001840
CIK 0001415624other
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 9:57 PM ET
Size
22.8 KB
Accession
0001437749-18-001840
Insider Transaction Report
Form 4
YuMe IncYUME
CARVALHO ANTHONY
CHIEF FINANCIAL OFFICER
Transactions
- Disposition from Tender
Common Stock
2018-02-02−125,662→ 0 total - Disposition to Issuer
Restricted Stock Units
2018-02-02−787→ 0 total→ Common Stock (787 underlying) - Disposition to Issuer
Restricted Stock Units
2018-02-02−5,000→ 0 total→ Common Stock (5,000 underlying) - Disposition to Issuer
Restricted Stock Units
2018-02-02−53,950→ 0 total→ Common Stock (53,950 underlying) - Disposition to Issuer
Stock Options (right to buy)
2018-02-02−63,179→ 0 totalExercise: $8.64Exp: 2022-07-25→ Common Stock (63,179 underlying) - Disposition to Issuer
Restricted Stock Units
2018-02-02−60,622→ 0 total→ Common Stock (60,622 underlying) - Disposition to Issuer
Stock Options (right to buy)
2018-02-02−50,000→ 0 totalExercise: $5.28Exp: 2023-08-05→ Common Stock (50,000 underlying) - Disposition to Issuer
Stock Options (right to buy)
2018-02-02−4,725→ 0 totalExercise: $9.00Exp: 2024-05-21→ Common Stock (4,725 underlying)
Footnotes (6)
- [F1]Tendered into and disposed of upon the closing of the exchange offer initiated by Redwood Merger Sub I, Inc. ("Purchaser") pursuant to the Agreement and Plan of Merger and Reorganization by and among RhythmOne plc, ("RhythmOne"), Purchaser (a wholly owned subsidiary of RhythmOne), Redwood Merger Sub II, Inc., and Issuer, dated as of September 4, 2017 (the "Merger Agreement"), whereby Purchaser offered to exchange for each outstanding share of common stock of the Issuer ("Issuer Common Stock") the following - (continued below)
- [F2]Disposed of pursuant to the Merger Agreement, whereby each vested restricted stock unit in Issuer common stock ("RSU") was cancelled in exchange for the right to receive the Transaction Consideration, with required tax withholdings satisfied by reducing the number of ordinary shares of RhythmOne otherwise issuable by the least number of shares equal in value to the tax withholding liability. Pursuant to the terms of the Issuer's Executive Severance Plan, the Reporting Person's RSU award granted May 22, 2014 became 100% vested immediately prior to the change in control of the Issuer effected by the Merger Agreement transactions.
- [F3]Disposed of pursuant to the Merger Agreement, whereby each vested restricted stock unit in Issuer common stock ("RSU") was cancelled in exchange for the right to receive the Transaction Consideration, with required tax withholdings satisfied by reducing the number of ordinary shares of RhythmOne otherwise issuable by the least number of shares equal in value to the tax withholding liability. Pursuant to the terms of the Issuer's Executive Severance Plan, the Reporting Person's RSU award granted December 8, 2014 became 100% vested immediately prior to the change in control of the Issuer effected by the Merger Agreement transactions.
- [F4]Disposed of pursuant to the Merger Agreement, whereby each vested restricted stock unit in Issuer common stock ("RSU") was cancelled in exchange for the right to receive the Transaction Consideration, with required tax withholdings satisfied by reducing the number of ordinary shares of RhythmOne otherwise issuable by the least number of shares equal in value to the tax withholding liability. Pursuant to the terms of the Issuer's Executive Severance Plan, the Reporting Person's RSU award granted March 2, 2016 became 100% vested immediately prior to the change in control of the Issuer effected by the Merger Agreement transactions.
- [F5]Disposed of pursuant to the Merger Agreement, whereby each vested restricted stock unit in Issuer common stock ("RSU") was cancelled in exchange for the right to receive the Transaction Consideration, with required tax withholdings satisfied by reducing the number of ordinary shares of RhythmOne otherwise issuable by the least number of shares equal in value to the tax withholding liability. Pursuant to the terms of the Issuer's Executive Severance Plan, the Reporting Person's RSU award granted March 3, 2017 became 100% vested immediately prior to the change in control of the Issuer effected by the Merger Agreement transactions.
- [F6]Disposed of pursuant to the Merger Agreement, whereby each option to acquire Issuer Common Stock with an exercise price in excess of the Transaction Consideration Value was automatically cancelled.
Documents
Issuer
YuMe Inc
CIK 0001415624
Entity typeother
Related Parties
1- filerCIK 0001607173
Filing Metadata
- Form type
- 4
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 9:57 PM ET
- Size
- 22.8 KB