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

(b)

1. Sole power to vote or direct vote: 3,646,593

2. Shared power to vote or direct vote: 0

3. Sole power to dispose or direct the disposition: 3,646,593

4. Shared power to dispose or direct the disposition: 0

(c)

AVI Partners has not entered into any transactions in the Shares during the past sixty days.

E.	Messrs. Dunn and Wallis

(a)

Each of Messrs. Dunn and Wallis, as a managing partner of AVI Partners and a managing member of AVI Management, may be deemed to beneficially own the 3,646,593 Shares owned in the aggregate by AVI Yankee and AVI LP and held in the AVI Managed Account.

Percentage: Approximately 10.5%

(b)

1. Sole power to vote or direct vote: 0

2. Shared power to vote or direct vote: 3,646,593

3. Sole power to dispose or direct the disposition: 0

4. Shared power to dispose or direct the disposition: 3,646,593

(c)

None of Messrs. Dunn or Wallis has entered into any transactions in the Shares during the past sixty days.

Each Reporting Person, as a member of a “group” with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, may be deemed the beneficial owner of the Shares directly owned by the other Reporting Persons. Each Reporting Person disclaims beneficial ownership of such Shares except to the extent of his or its pecuniary interest therein.

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

Published on March 30, 2016 at 12:15 pm by Insider Monkey Staff in Hedge Funds, News

Page 10 of 11 – SEC Filing

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