13D Filing: Avi Partners, LLC and Yume Inc (YUME)

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You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
AVI CAPITAL YANKEE 3,003,560 3,042,662 3,003,560 3,042,662 3,003,560 8.7%
AVI CAPITAL PARTNERS 39,102 3,042,662 39,102 3,042,662 39,102 Less%
AVI MANAGEMENT 3,042,662 3,042,662 3,042,662 8.8%
AVI PARTNERS 3,042,662 3,042,662 3,042,662 8.8%
JAMES A. DUNN, JR 3,042,662 8.8%
DARREN C. WALLIS 3,042,662 8.8%

Page 1 of 13 – SEC Filing

UNITED STATES

SECURITIES AND EXCHANGE
COMMISSION

Washington, D.C.
20549

SCHEDULE 13D/A

(Rule 13d-101)

INFORMATION TO BE INCLUDED
IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2(a)

(Amendment
No. 9)
1

YuMe, Inc.
(Name of Issuer)

Common Stock, $0.001
par value per share

(Title of Class of Securities)

98872B104
(CUSIP Number)

DARREN C. WALLIS
AVI PARTNERS, LLC
555 E. Lancaster Avenue
Suite 520
Radnor, Pennsylvania 19087
(610) 816-6660
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

September 4, 2017
(Date of Event Which Requires Filing of This Statement)

If the filing person
has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨.

Note:  Schedules
filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See § 240.13d-7
for other parties to whom copies are to be sent.

_______________

1
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided
in a prior cover page.

The information required
on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).

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