0001437749-18-001853.txt : 20180207 0001437749-18-001853.hdr.sgml : 20180207 20180207081428 ACCESSION NUMBER: 0001437749-18-001853 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180202 FILED AS OF DATE: 20180207 DATE AS OF CHANGE: 20180207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MUTCH JOHN CENTRAL INDEX KEY: 0001228146 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36039 FILM NUMBER: 18579315 MAIL ADDRESS: STREET 1: C/O PEREGRINE SYSTEMS, INC. STREET 2: 3611 VALLEY CENTRE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: YuMe Inc CENTRAL INDEX KEY: 0001415624 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ADVERTISING AGENCIES [7311] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1204 MIDDLEFIELD ROAD CITY: Redwood City STATE: CA ZIP: 94063 BUSINESS PHONE: 650-591-9400 MAIL ADDRESS: STREET 1: 1204 MIDDLEFIELD ROAD CITY: Redwood City STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: Yume Inc DATE OF NAME CHANGE: 20071018 4 1 rdgdoc.xml FORM 4 X0306 4 2018-02-02 1 0001415624 YuMe Inc YUME 0001228146 MUTCH JOHN C/O YUME, INC. 1204 MIDDLEFIELD ROAD REDWOOD CITY CA 94063 1 Restricted Stock Units 2018-02-02 4 D 0 20883 0 D Common Stock 20883 0 D Disposed of upon the closing of the exchange offer initiated by Redwood Merger Sub I, Inc. ("Purchaser") pursuant to the Agreement and Plan of Merger and Reorganization by and among RhythmOne plc, ("RhythmOne"), Purchaser (a wholly owned subsidiary of RhythmOne), Redwood Merger Sub II, Inc., and Issuer, dated as of September 4, 2017 (the "Merger Agreement"), (continued below) 1. (continued) whereby each vested restricted stock unit in Issuer common stock ("RSU") was cancelled in exchange for the right to receive the Transaction Consideration, with required tax withholdings satisfied by reducing the number of ordinary shares of RhythmOne otherwise issuable by the least number of shares equal in value to the tax withholding liability. Pursuant to the terms of the Issuer's 2013 Equity Incentive Plan, the Reporting Person's RSU award granted August 2, 2017 became 100% vested immediately prior to the change in control of the Issuer effected by the Merger Agreement transactions. /s/ John Mutch by Amy Rothstein, Attorney-in-Fact 2018-02-06