SEC Form 4 · accession 0001140361-17-026533
YuMe Inc · YUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ayyappan Sankaran
Officer — EVP, ENGINEERING & CTO · Director
Period of report
Jun 27, 2017
Accepted (ET)
Jun 28, 2017 · 8:07 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 | Jun 27, 2017 | M | 45,000 | $0.66 | A | 166,760 | D | |
| Common Stock | holding | — | — | — | 795,363 | I | By The Ayyappan Living Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $0.66 | Jun 27, 2017 | M | 45,000 | D | — | Jan 23, 2018 | Common Stock | 45,000 | 0 | D |
Explanation of responses
- F1The stock option grant is fully vested and exercisable.