0000921895-15-002737.txt : 20151209 0000921895-15-002737.hdr.sgml : 20151209 20151209174353 ACCESSION NUMBER: 0000921895-15-002737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151207 FILED AS OF DATE: 20151209 DATE AS OF CHANGE: 20151209 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: 151279198 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: 151279199 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: 151279200 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: 151279201 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: 151279202 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: 151279203 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: 151279197 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_12092015.xml OWNERSHIP DOCUMENT X0306 4 2015-12-07 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 2015-12-07 4 P 0 52127 3.0414 A 1481396 I Vertex Special Opportunities Fund II, LP, See Footenote Common Stock 2015-12-08 4 P 0 18910 3.0592 A 1500306 I Vertex Special Opportunities Fund II, LP, See Footenote Common Stock 2015-12-09 4 P 0 85000 3.0524 A 1585306 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 2015-12-09 Vertex Opportunities Fund, LP; By: Vertex GP, LLC; By: /s/ Eric Singer, Managing Member 2015-12-09 Vertex Opportunities Fund, LP - Series Two; By: Vertex GP, LLC; By: /s/ Eric Singer, Managing Member 2015-12-09 Vertex GP, LLC; By: /s/ Eric Singer, Managing Member 2015-12-09 Vertex Special Opportunities Fund II, LP; By: /s/ Eric Singer, Managing Member 2015-12-09 Vertex Special Opportunities GP II, LLC; By /s/ Eric Singer, Managing Member 2015-12-09 Vertex Capital Advisors, LLC; By /s/ Eric Singer, Managing Member 2015-12-09