Filing Details
- Accession Number:
- 0000902664-17-003528
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-09-07 10:04:57
- Reporting Period:
- 2017-08-15
- Accepted Time:
- 2017-09-07 10:04:57
- 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 East Lancaster Avenue Suite 520 Radnor PA 19087 | No | No | Yes | No | |
| 1603432 | Avi Partners, Llc | Parkview Tower 1150 1St Avenue, Suite 450 King Of Prussia PA 19406 | No | No | Yes | No | |
| 1627603 | Avi Capital Yankee, Lp | C/O Avi Partners, Llc 555 East 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 | Disposition | 2017-08-15 | 5,000 | $4.65 | 565,600 | No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| Common Stock, $0.001 Par Value | Disposition | 2017-08-17 | 5,000 | $4.80 | 560,600 | No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| Common Stock, $0.001 Par Value | Disposition | 2017-08-18 | 5,000 | $4.81 | 555,600 | No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| Common Stock, $0.001 Par Value | Disposition | 2017-08-21 | 5,000 | $4.87 | 550,600 | No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| Common Stock, $0.001 Par Value | Disposition | 2017-08-23 | 15,000 | $5.16 | 535,600 | No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| Common Stock, $0.001 Par Value | Disposition | 2017-08-28 | 10,000 | $5.39 | 0 | No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| No | 4 | S | Indirect | By Managed Account of AVI Partners LLC |
| No | 4 | S | 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 Partners, LP |
| Common Stock, $0.001 Par Value | 39,102 | Indirect | By AVI Capital Partners, LP |
Footnotes
- 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. 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 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.
- 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.
- 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.
- The owner of the managed account terminated the account and the number of shares of Common Stock reported in this column reflects that termination.
Billionaire Hedge Funds
