SEC Form 4 · accession 0001140361-15-033824
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
Aug 26, 2015
Accepted (ET)
Aug 28, 2015 · 8:00 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 | Aug 26, 2015 | M | 23,662 | $0.00 | A | 40,776 | D | |
| Common StockF2,F3 | Aug 27, 2015 | S | 10,512 | $2.4582 | D | 30,264 | 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 | — | Aug 26, 2015 | M | 23,662 | D | — | — | Common Stock | 23,662 | 70,986 | D |
Explanation of responses
- F1Represents sales to satisfy tax withholding obligations in connection with the vesting of 23,662 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 $2.45 to $2.5085 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 over two years in four equal installments every 6 months commencing on the February 26, 2015. Shares of the Issuer's common stock will be delivered to the reporting person upon vesting.