0000921895-15-002700.txt : 20151204
0000921895-15-002700.hdr.sgml : 20151204
20151204172640
ACCESSION NUMBER: 0000921895-15-002700
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151202
FILED AS OF DATE: 20151204
DATE AS OF CHANGE: 20151204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vertex Special Opportunities GP II, LLC
CENTRAL INDEX KEY: 0001658891
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36039
FILM NUMBER: 151270885
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vertex Special Opportunities Fund II, LP
CENTRAL INDEX KEY: 0001619127
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36039
FILM NUMBER: 151270886
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vertex GP, LLC
CENTRAL INDEX KEY: 0001654852
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36039
FILM NUMBER: 151270887
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVE.
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVE.
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vertex Opportunities Fund, LP Series Two
CENTRAL INDEX KEY: 0001659404
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36039
FILM NUMBER: 151270888
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: Vertex Opportuniteis Fund, LP Series Two
DATE OF NAME CHANGE: 20151125
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vertex Opportunities Fund, LP
CENTRAL INDEX KEY: 0001606750
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36039
FILM NUMBER: 151270889
BUSINESS ADDRESS:
STREET 1: C/O VERTEX CAPITAL ADVISORS, LLC
STREET 2: 826 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: C/O VERTEX CAPITAL ADVISORS, LLC
STREET 2: 826 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Singer Eric
CENTRAL INDEX KEY: 0001443284
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36039
FILM NUMBER: 151270890
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vertex Capital Advisors, LLC
CENTRAL INDEX KEY: 0001619125
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36039
FILM NUMBER: 151270884
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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
form410114014_12042015.xml
OWNERSHIP DOCUMENT
X0306
4
2015-12-02
0
0001415624
YuMe Inc
YUME
0001443284
Singer Eric
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001606750
Vertex Opportunities Fund, LP
C/O VERTEX CAPITAL ADVISORS, LLC
825 THIRD AVENUE, 33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001659404
Vertex Opportunities Fund, LP Series Two
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001654852
Vertex GP, LLC
825 THIRD AVE.
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001619127
Vertex Special Opportunities Fund II, LP
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001658891
Vertex Special Opportunities GP II, LLC
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001619125
Vertex Capital Advisors, LLC
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
Common Stock
2015-12-02
4
P
0
16686
3.1192
A
1366614
I
Vertex Special Opportunities Fund II, LP, See Footenote
Common Stock
2015-12-03
4
P
0
2658
3.0969
A
1369272
I
Vertex Special Opportunities Fund II, LP, See Footenote
Common Stock
2015-12-04
4
P
0
59997
3.1151
A
1429269
I
Vertex Special Opportunities Fund II, LP, See Footenote
Common Stock
561269
I
Vertex Opportunities Fund, LP - Series Two, See Footnote
Common Stock
2591733
I
Vertex Opportunities Fund, LP, See Footnote
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.
By: /s/ Eric Singer
2015-12-04
Vertex Opportunities Fund, LP; By: Vertex GP, LLC; By: /s/ Eric Singer, Managing Member
2015-12-04
Vertex Opportunities Fund, LP - Series Two; By: Vertex GP, LLC; By: /s/ Eric Singer, Managing Member
2015-12-04
Vertex GP, LLC; By: /s/ Eric Singer, Managing Member
2015-12-04
Vertex Special Opportunities Fund II, LP; By: /s/ Eric Singer, Managing Member
2015-12-04
Vertex Special Opportunities GP II, LLC; By /s/ Eric Singer, Managing Member
2015-12-04
Vertex Capital Advisors, LLC; By /s/ Eric Singer, Managing Member
2015-12-04