Filing Details

Accession Number:
0000921895-15-001777
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-07-20 20:00:13
Reporting Period:
2015-07-16
Filing Date:
2015-07-20
Accepted Time:
2015-07-20 20:00:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1415624 Yume Inc YUME Services-Advertising Agencies (7311) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1550213 Avi Management, Llc 555 E. Lancaster Avenue
Suite 520
Radnor PA 19087
No No Yes No
1603432 Avi Partners, Llc 555 E. Lancaster Avenue
Suite 520
Radnor PA 19087
No No Yes No
1627603 Avi Capital Yankee, Lp 555 E. Lancaster Avenue
Suite 520
Radnor PA 19087
No No Yes No
1647887 C Darren Wallis 555 E. Lancaster Avenue
Suite 520
Radnor PA 19087
No No Yes No
1647890 Avi Capital Partners, Lp 555 E. Lancaster Avenue
Suite 520
Radnor PA 19087
No No Yes No
1648118 Jr A James Dunn 555 E. Lancaster Avenue
Suite 520
Radnor PA 19087
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.001 Par Value Acquisiton 2015-07-16 21,572 $5.40 293,394 No 4 P Indirect By Managed Account of AVI Partners, LLC
Common Stock, $0.001 Par Value Acquisiton 2015-07-17 124,806 $5.38 418,200 No 4 P Indirect By Managed Account of AVI Partners, LLC
Common Stock, $0.001 Par Value Acquisiton 2015-07-20 121,800 $5.40 540,000 No 4 P Indirect By Managed Account of AVI Partners, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Managed Account of AVI Partners, LLC
No 4 P Indirect By Managed Account of AVI Partners, LLC
No 4 P Indirect By Managed Account of AVI Partners, LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.001 Par Value 3,003,560 Indirect By AVI Capital Yankee, LP
Common Stock, $0.001 Par Value 72,433 Indirect By AVI Capital Partners, LP
Footnotes
  1. This Form 4 is filed jointly by AVI Capital Yankee, LP ("AVI Yankee"), AVI Capital Partners, LP ("AVI LP"), AVI Partners, LLC ("AVI Partners"), AVI Management, LLC ("AVI Management"), James A. Dunn, Jr., and Darren C. Wallis (collectively, the "Reporting Persons"). Each Reporting Person is a member of a reporting group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
  2. Shares of Common Stock held in an account managed by AVI Partners. Each of Messrs. Dunn and Wallis, as a managing partner of AVI Partners, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Partners.
  3. Shares of Common Stock beneficially owned by AVI Yankee. AVI Partners, as the general partner of AVI Yankee, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Yankee. AVI Management, as the investment manager of AVI Yankee, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Yankee. Each of Messrs. Dunn and Wallis, as a managing partner of AVI Partners and a managing member of AVI Management, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI Yankee.
  4. Shares of Common Stock beneficially owned by AVI LP. AVI Partners, as the general partner of AVI LP, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI LP. AVI Management, as the investment manager of AVI LP, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI LP. Each of Messrs. Dunn and Wallis, as a managing partner of AVI Partners and a managing member of AVI Management, may be deemed to be the beneficial owner of the shares of Common Stock beneficially owned by AVI LP.
  5. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.33 to $5.45. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in foonotes 5, 6 and 7 to this Form 4.
  6. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.30 to $5.44.
  7. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.3380 to $5.43.