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