SEC Form 4 · accession 0001140361-15-021928
YuMe Inc · YUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Carvalho
Officer — EVP, CHIEF FINANCIAL OFFICER
Period of report
May 22, 2015
Accepted (ET)
May 27, 2015 · 5:33 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 | 788 | $0.00 | A | 16,490 | D | |
| Common StockF2,F3 | May 26, 2015 | S | 305 | $4.9426 | D | 16,185 | 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 UnitsF4,F5 | — | May 22, 2015 | M | 788 | D | — | — | Common Stock | 788 | 2,362 | D |
Explanation of responses
- F1Represents sales to satisfy tax withholding obligations in connection with the vesting of 788 restricted stock units.
- F2Represents the aggregate of sales effected on the same day at different prices.
- F3Represents the weighted average sales price per share. The shares sold at prices ranging from $4.94 to $5.0401 per share. Full information regarding the number of shares sold at each price shall be provided upon request from the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
- F4Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- F5The restricted stock units vest in four equal annual installments beginning on May 22, 2015. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting.