SEC Form 4 · accession 0001140361-15-021923
YuMe Inc · YUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mitchell Habib
Director
Period of report
May 22, 2015
Accepted (ET)
May 27, 2015 · 5:24 pm EDT
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 Stock | May 22, 2015 | M | 13,257 | $0.00 | A | 13,257 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | May 22, 2015 | M | 13,257 | D | — | — | Common Stock | 13,257 | 0 | D |
| Director Stock Option (right to buy)F3 | $5.10 | May 22, 2015 | A | 31,238 | A | — | May 21, 2025 | Common Stock | 31,238 | 31,238 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- F2As previously reported, on May 22, 2014 the Reporting Person was granted 13,257 restricted stock units, all of which vested on May 22, 2015.
- F3On May 22, 2015 the Reporting Person was granted 31,238 stock options, all of which will vest and become exercisable on May 22, 2016.