Home > Insider Trading > Filing (0000921895-15-002788)

Filing Details

Accession Number:: 0000921895-15-002788
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-12-14 17:49:05
Reporting Period:: 2015-12-10

Filing Date:: 2015-12-14
Accepted Time:: 2015-12-14 17:49:05
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	Director	Officer	Large Shareholder	Other
1443284	Eric Singer	825 Third Avenue 33Rd Floor New York NY 10022	No	No	Yes	No
1606750	Vertex Opportunities Fund, Lp	C/O Vertex Capital Advisors, Llc 825 Third Avenue, 33Rd Floor New York NY 10022	No	No	Yes	No
1619125	Vertex Capital Advisors, Llc	825 Third Avenue 33Rd Floor New York NY 10022	No	No	Yes	No
1619127	Vertex Special Opportunities Fund Ii, Lp	825 Third Avenue 33Rd Floor New York NY 10022	No	No	Yes	No
1654852	Vertex Gp, Llc	825 Third Ave. 33Rd Floor New York NY 10022	No	No	Yes	No
1658891	Vertex Special Opportunities Gp Ii, Llc	825 Third Avenue 33Rd Floor New York NY 10022	No	No	Yes	No
1659404	Vertex Opportunities Fund, Lp Series Two	825 Third Avenue 33Rd Floor New York NY 10022	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-12-10	66,500	$3.12	1,651,806	No	4	P	Indirect	Vertex Special Opportunities Fund II, LP, See Footenote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Vertex Special Opportunities Fund II, LP, See Footenote

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	561,269	Indirect	Vertex Opportunities Fund, LP - Series Two, See Footnote
Common Stock	2,591,733	Indirect	Vertex Opportunities Fund, LP, See Footnote

Footnotes

This Form 4 is filed jontly by Vertex Opportunities Fund, LP ("Vertex Opportunities"), Vertex Opportunities Fund, LP - Series Two ("Series Two"), Vertex Special Opportunities II, LP ("VSO II"), Vertex GP, LLC ("Vertex GP"), Vertex Special Opportunities GP II, LLC ("VSO GP II"), Vertex Capital Advisors, LLC ("Vertex Capital"), and Eric Singer (collectively, the "Reporting Persons") who 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. On June 17, 2015, Vertex Opportunities became a series limited partnership and such shares reported by it in this report are deemed to be held in Vertex Opportunities Fund, LP - Series One.
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.
Shares of Common Stock beneficially owned directly by Vertex Opportunities. Vertex GP, as the general partner of Vertex Opportunities, may be deemed thebeneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities. Vertex Capital, as the investment manager of Vertex Opportunities, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities. Mr. Singer, as the managing member of each of Vertex GP and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Vertex Opportunities.
Shares of Common Stock beneficially owned directly by Series Two. Vertex 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. Vertex Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series II. Mr. Singer, as the managing member of each of Vertex GP and Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Series Two is a series of Vertex Opportunities.
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. Vertex 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 Vertex Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II.