SEC Form 4 · accession 0001140361-16-059061
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
Apr 1, 2015
Accepted (ET)
Mar 25, 2016 · 9:55 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 | Apr 1, 2015 | M | 1,250 | $0.00 | A | 48,652 | D | |
| Common StockF2,F3 | Apr 1, 2015 | S | 475 | $5.1107 | D | 48,177 | 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 | — | Apr 1, 2015 | M | 1,250 | D | — | — | Common Stock | 1,250 | 1,250 | D |
Explanation of responses
- F1Represents sales to satisfy tax withholding obligations in connection with the vesting of 1,250 restricted stock units ("RSUs").
- 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 varying prices. 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 RSU represents a contingent right to receive one share of the Issuer's common stock.
- F5The RSUs vest in two equal annual installments beginning on April 1, 2015. Shares of the Issuer's common stock will be delivered to the reporting person upon vesting.