0000921895-16-002991.txt : 20160112
0000921895-16-002991.hdr.sgml : 20160112
20160112161530
ACCESSION NUMBER: 0000921895-16-002991
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160108
FILED AS OF DATE: 20160112
DATE AS OF CHANGE: 20160112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX 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: 161338927
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 Special Opportunities GP II, LLC
DATE OF NAME CHANGE: 20151119
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX 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: 161338928
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
FORMER NAME:
FORMER CONFORMED NAME: Vertex Special Opportunities Fund II, LP
DATE OF NAME CHANGE: 20140910
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX 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: 161338929
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
FORMER NAME:
FORMER CONFORMED NAME: Vertex GP, LLC
DATE OF NAME CHANGE: 20151005
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX 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: 161338930
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 Opportunities Fund, LP Series Two
DATE OF NAME CHANGE: 20151125
FORMER NAME:
FORMER CONFORMED NAME: Vertex Opportuniteis Fund, LP Series Two
DATE OF NAME CHANGE: 20151125
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX Opportunities Fund, LP Series One
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: 161338931
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
FORMER NAME:
FORMER CONFORMED NAME: VIEX Opportunities Fund, LP
DATE OF NAME CHANGE: 20151228
FORMER NAME:
FORMER CONFORMED NAME: Vertex Opportunities Fund, LP
DATE OF NAME CHANGE: 20140429
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: 161338932
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: VIEX 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: 161338926
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
FORMER NAME:
FORMER CONFORMED NAME: Vertex Capital Advisors, LLC
DATE OF NAME CHANGE: 20140910
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_01122016.xml
OWNERSHIP DOCUMENT
X0306
4
2016-01-08
0
0001415624
YuMe Inc
YUME
0001443284
Singer Eric
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001606750
VIEX Opportunities Fund, LP Series One
VIEX CAPITAL ADVISORS, LLC
825 THIRD AVENUE, 33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001659404
VIEX Opportunities Fund, LP Series Two
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001654852
VIEX GP, LLC
825 THIRD AVE.
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001619127
VIEX Special Opportunities Fund II, LP
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001658891
VIEX Special Opportunities GP II, LLC
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001619125
VIEX Capital Advisors, LLC
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
Common Stock
2016-01-08
4
P
0
42924
3.0078
A
1783162
I
VIEX Special Opportunities Fund II, LP, See Footnote
Common Stock
2016-01-11
4
P
0
20772
3.0821
A
1803934
I
VIEX Special Opportunities Fund II, LP, See Footnote
Common Stock
2016-01-12
4
P
0
3800
3.0684
A
1807734
I
VIEX Special Opportunities Fund II, LP, See Footnote
Common Stock
561269
I
VIEX Opportunities Fund, LP - Series Two, See Footnote
Common Stock
2591733
I
VIEX Opportunities Fund, LP - Series One, See Footnote
This Form 4 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP ("VIEX Opportunities"), a series limited partnership, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities, VIEX Special Opportunities II, LP ("VSO II"), VIEX GP, LLC ("VIEX GP"), VIEX Special Opportunities GP II, LLC ("VSO GP II"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons").
The Reporting Persons 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. 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 Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One.
Shares of Common Stock beneficially owned directly by Series Two. VIEX 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. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two.
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. VIEX 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 VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO II.
By: /s/ Eric Singer
2016-01-12
VIEX Opportunities Fund, LP - Series One; By: VIEX GP, LLC; its general partner; By: /s/ Eric Singer, Managing Member
2016-01-12
VIEX Opportunities Fund, LP - Series Two; By: VIEX GP, LLC; its general partner; By: /s/ Eric Singer, Managing Member
2016-01-12
VIEX GP, LLC; By: /s/ Eric Singer, Managing Member
2016-01-12
VIEX Special Opportunities Fund II, LP; By: VIEX Special Opportunities GP II, LLC; its general partner; By: /s/ Eric Singer, Managing Member
2016-01-12
VIEX Special Opportunities GP II, LLC; By /s/ Eric Singer, Managing Member
2016-01-12
VIEX Capital Advisors, LLC; By /s/ Eric Singer, Managing Member
2016-01-12