SEC Form 4 · accession 0001140361-15-009003
YuMe Inc · YUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ayyappan Sankaran
Officer — EVP, ENGINEERING & CTO · Director
Period of report
Feb 23, 2015
Accepted (ET)
Feb 25, 2015 · 7:50 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 StockF2 | Feb 19, 2015 | J | 2,850 | $4.352 | A | 7,871 | D | |
| Common Stock | Feb 23, 2015 | S | 2,850 | $5.3925 | D | 5,021 | D | |
| Common StockF2,F3 | holding | — | — | — | 18,071 | I | By Ayyappan Sankaran 2013 Annuity Trust dated June 24, 2013 | |
| Common StockF2 | holding | — | — | — | 777,292 | I | By The Ayyappan Living Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired under the Issuer's Employee Stock Purchase Plan in transactions that were exempt under Rule 16b-3(c).
- F2Reflects (i) 81,929 shares that were distributed from the Ayyappan Sankaran Annuity Trust to the Reporting Person and (ii) 777,292 shares that were transferred from the Reporting Person to The Ayyappan Living Trust in transactions that were exempt from reporting under Rule 16a-13.
- F3The Reporting Person has sole voting and investment control over the shares held by the Ayyappan Sankaran 2013 Annuity Trust dated June 24, 2013.