SEC Form 4 · accession 0000921895-15-002737
YuMe Inc · YUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Eric Singer
10% Owner
Vertex Opportunities Fund, LP
10% Owner
Vertex Capital Advisors, LLC
10% Owner
Vertex GP, LLC
10% Owner
Period of report
Dec 7, 2015
Accepted (ET)
Dec 9, 2015 · 5:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001415624
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F5 | Dec 7, 2015 | P | 52,127 | $3.0414 | A | 1,481,396 | I | Vertex Special Opportunities Fund II, LP, See Footenote |
| Common StockF1,F2,F5 | Dec 8, 2015 | P | 18,910 | $3.0592 | A | 1,500,306 | I | Vertex Special Opportunities Fund II, LP, See Footenote |
| Common StockF1,F2,F5 | Dec 9, 2015 | P | 85,000 | $3.0524 | A | 1,585,306 | I | Vertex Special Opportunities Fund II, LP, See Footenote |
| Common StockF1,F2,F4 | holding | — | — | — | 561,269 | I | Vertex Opportunities Fund, LP - Series Two, See Footnote | |
| Common StockF1,F2,F3 | holding | — | — | — | 2,591,733 | I | Vertex Opportunities Fund, LP, See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed jontly by Vertex Opportunities Fund, LP ("Vertex Opportunities"), Vertex Opportunities Fund, LP - Series Two ("Series Two"), Vertex Special Opportunities II, LP ("VSO II"), Vertex GP, LLC ("Vertex GP"), Vertex Special Opportunities GP II, LLC ("VSO GP II"), Vertex Capital Advisors, LLC ("Vertex Capital"), and Eric Singer (collectively, the "Reporting Persons") who are filing this report because each of the Reporting Persons is a member of a Section 13(d) group, disclosed in a Schedule 13D filed on behalf of the Reporting Persons, as it may be amended, which beneficially owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. On June 17, 2015, Vertex Opportunities became a series limited partnership and such shares reported by it in this report are deemed to be held in Vertex Opportunities Fund, LP - Series One.
- F2Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
- F3Shares of Common Stock beneficially owned directly by Vertex Opportunities. Vertex GP, as the general partner of Vertex Opportunities, may be deemed thebeneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities. Vertex Capital, as the investment manager of Vertex Opportunities, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities. Mr. Singer, as the managing member of each of Vertex GP and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities.
- F4Shares of Common Stock beneficially owned directly by Series Two. Vertex GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Vertex Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series II. Mr. Singer, as the managing member of each of Vertex GP and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Series Two is a series of Vertex Opportunities.
- F5Shares of Common Stock beneficially owned directly by VSO II. VSO GP II, as the general partner of VSO II, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II. Vertex Capital, as the investment manager of VSO II, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II. Mr. Singer, as the managing member of each of VSO GP II and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II.