SEC Form 4/A · accession 0001140361-17-009815
YuMe Inc · YUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jayant Kadambi
Director
Period of report
Dec 14, 2016
Accepted (ET)
Feb 28, 2017 · 9:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001415624
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Dec 14, 2016 | M | 12,500 | D | — | — | Common Stock | 12,500 | 37,500 | D |
| Restricted Stock UnitsF3,F1,F4 | — | Dec 14, 2016 | M | 64,313 | D | — | — | Common Stock | 64,313 | 192,939 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
- F2The RSUs were subject to vesting over two years in four equal installments every six months commencing on the grant date.
- F3Due to an administrative error, the remaining unvested RSUs were erroneously reported as cancelled in the Form 4 filed by the Reporting Person on December 15, 2016. This amended Form 4 is being filed to correctly report the number of RSUs beneficially owned following the transaction.
- F4The RSUs were subject to vesting over three years in six equal installments every six months commencing on the grant date.