SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 07/16/2015 | 3. Issuer Name and Ticker or Trading Symbol YuMe Inc [ YUME ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock, $0.001 Par Value(1) | 3,003,560 | I | By AVI Capital Yankee, LP(2) |
| Common Stock, $0.001 Par Value(1) | 72,433 | I | By AVI Capital Partners, LP(3) |
| Common Stock, $0.001 Par Value(1) | 271,822 | I | By Managed Account of AVI Partners, LLC(4) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. This Form 3 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 that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, each Reporting Person may be deemed to beneficially own 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. |
| 2. 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. |
| 3. 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. |
| 4. 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. |
| AVI Partners, LLC; By: /s/ Darren C. Wallis, Managing Partner | 07/20/2015 | |
| AVI Capital Yankee, LP; By: AVI Partners, LLC, General Partner; By: /s/ Darren C. Wallis, Managing Partner | 07/20/2015 | |
| AVI Capital Partners, LP; By: AVI Partners, LLC, General Partner; By: /s/ Darren C. Wallis, Managing Partner | 07/20/2015 | |
| AVI Management, LLC; By: /s/ Darren C. Wallis, Managing Member | 07/20/2015 | |
| James A. Dunn, Jr.; By: /s/ Darren C. Wallis, Attorney in Fact | 07/20/2015 | |
| By: /s/ Darren C. Wallis | 07/20/2015 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||