SEC Form 4 · accession 0001140361-16-079012
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
Sep 2, 2016
Accepted (ET)
Sep 6, 2016 · 8:45 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 | Sep 2, 2016 | M | 17,983 | $0.00 | A | 82,200 | D | |
| Common Stock | Sep 2, 2016 | F | 6,759 | $3.38 | D | 75,441 | 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 UnitsF2,F3 | — | Sep 2, 2016 | M | 17,983 | D | — | — | Common Stock | 17,983 | 89,917 | D |
Explanation of responses
- F1Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. No shares have been sold. All of the shares reported as disposed on this Form 4 are withheld by the Issuer to satisfy federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units.
- F2Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- F3The restricted stock units vest over 3 years in 6 equal installments every 6 months commencing on March 2, 2016. Shares of the Issuer's common stock will be delivered to the reporting person upon vesting.