SEC Form 4 · accession 0001140361-17-010791

YuMe Inc · YUME

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, CHIEF FINANCIAL OFFICER

Period of report

Mar 2, 2017

Accepted (ET)

Mar 6, 2017 · 9:18 pm EST

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	Mar 2, 2017	M	17,984	$0.00	A	109,857	D
Common Stock	Mar 2, 2017	F	6,597	$3.63	D	103,260	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2,F3	—	Mar 2, 2017	M	17,984	D	—	—	Common Stock	17,984	71,933	D
Restricted Stock Units^F2,F4	—	Mar 3, 2017	A	72,746	A	—	—	Common Stock	72,746	72,746	D

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 three years in six equal installments every 6 months commencing on the September 2, 2016. Shares of the Issuer's common stock will be delivered to the reporting person upon vesting.
F4The restricted stock units vest over three years in six equal installments every 6 months commencing on September 3, 2017. Shares of the Issuer's common stock will be delivered to the reporting person upon vesting.