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

Published on September 11, 2017 at 2:08 pm by Insider Monkey Staff in Hedge Funds

Page 10 of 13

Page 10 of 13 – SEC Filing

D.	AVI Partners

	(a)	As of the close of business on September 6, 2017, 404,630 Shares were held in the AVI Managed Account. AVI Partners, as the general partner of each of AVI Yankee and AVI LP and the investment advisor of the AVI Managed Account, may be deemed to beneficially own the 3,447,292 Shares owned in the aggregate by AVI Yankee and AVI LP and held in the AVI Managed Account.
		Percentage: Approximately 8.8%

	(b)	1. Sole power to vote or direct vote: 3,042,662
		2. Shared power to vote or direct vote: 0
		3. Sole power to dispose or direct the disposition: 3,042,662
		4. Shared power to dispose or direct the disposition: 0

(c)

The transactions in the Shares on behalf of the AVI Managed Account during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

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 3,447,292 Shares owned in the aggregate by AVI Yankee and AVI LP and held in the AVI Managed Account.
		Percentage: Approximately 8.8%

	(b)	1. Sole power to vote or direct vote: 0
		2. Shared power to vote or direct vote: 3,042,662
		3. Sole power to dispose or direct the disposition: 0
		4. Shared power to dispose or direct the disposition: 3,447,292

(c)

None of Messrs. Dunn or Wallis has entered into any transactions in the Shares during the past sixty days. The transactions in the Shares on behalf of the AVI Managed Account during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

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.

Item 6.

Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.

Item 6 is hereby amended to add the following:

On September 4, 2017, AVI Yankee, AVI LP,
AVI Management, AVI Partners, James A. Dunn Jr. and Darren C. Wallis entered into
the Support Agreement defined and described in Item 4 above and incorporated by reference via Exhibit 4 hereto.

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NYSE:YUME SEC 13D Filing YuMe Inc (YUME)Avi Partners, Llc