Filing Details

Accession Number:
0000921895-16-003918
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-03-30 18:45:44
Reporting Period:
2016-03-28
Filing Date:
2016-03-30
Accepted Time:
2016-03-30 18:45:44
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
1443284 Eric Singer 825 Third Avenue
33Rd Floor
New York NY 10022
No No Yes No
1606750 Viex Opportunities Fund, Lp Series One 825 Third Avenue
33Rd Floor
New York NY 10022
No No Yes No
1619125 Viex Capital Advisors, Llc 825 Third Avenue
33Rd Floor
New York NY 10022
No No Yes No
1619127 Viex Special Opportunities Fund Ii, Lp 825 Third Avenue
33Rd Floor
New York NY 10022
No No Yes No
1654852 Viex Gp, Llc 825 Third Ave.
33Rd Floor
New York NY 10022
No No Yes No
1658891 Viex Special Opportunities Gp Ii, Llc 825 Third Avenue
33Rd Floor
New York NY 10022
No No Yes No
1659404 Viex Opportunities Fund, Lp Series Two 825 Third Avenue
33Rd Floor
New York NY 10022
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 Acquisiton 2016-03-28 19,557 $3.69 2,339,594 No 4 P Indirect VIEX Special Opportunities Fund II, LP, See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect VIEX Special Opportunities Fund II, LP, See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 561,269 Indirect VIEX Opportunities Fund, LP - Series Two, See Footnote
Common Stock 2,591,733 Indirect VIEX Opportunities Fund, LP - Series One, See Footnote
Footnotes
  1. This Form 4 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP ("VIEX Opportunities"), a series limited partnership, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities, VIEX Special Opportunities Fund II, LP ("VSO II"), VIEX GP, LLC ("VIEX GP"), VIEX Special Opportunities GP II, LLC ("VSO GP II"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons").
  2. The Reporting Persons are filing this report because each of the Reporting Persons is a member of a Section 13(d) group, disclosed in a Schedule 13D filed on behalf of the Reporting Persons, as it may be amended, which beneficially owns in the aggregate 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.
  3. Shares of Common Stock beneficially owned directly by Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One.
  4. Shares of Common Stock beneficially owned directly by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two.
  5. Shares of Common Stock beneficially owned directly by VSO II. VSO GP II, as the general partner of VSO II, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II. VIEX Capital, as the investment manager of VSO II, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II. Mr. Singer, as the managing member of each of VSO GP II and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II.