0001193125-14-045346.txt : 20140211 0001193125-14-045346.hdr.sgml : 20140211 20140211150448 ACCESSION NUMBER: 0001193125-14-045346 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20140211 DATE AS OF CHANGE: 20140211 GROUP MEMBERS: DOUGLAS C. CARLISLE GROUP MEMBERS: HENRY D. MONTGOMERY GROUP MEMBERS: JOHN W. JARVE GROUP MEMBERS: MARK A. SIEGEL GROUP MEMBERS: MENLO ENTREPRENEURS FUND X, L.P. GROUP MEMBERS: MMEF X, L.P. GROUP MEMBERS: MV MANAGEMENT X, L.L.C. GROUP MEMBERS: PRAVIN A. VAZIRANI GROUP MEMBERS: SHAWN T. CAROLAN GROUP MEMBERS: SONJA H. PERKINS SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87912 FILM NUMBER: 14593756 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Menlo Ventures X L P CENTRAL INDEX KEY: 0001325065 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3000 SAND HILL RD STREET 2: BUILDING 4 SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-854-8540 MAIL ADDRESS: STREET 1: 3000 SAND HILL RD STREET 2: BUILDING 4 SUITE 100 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G 1 d675133dsc13g.htm SC 13G SC 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No.     )*

 

 

YuMe, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

98872B 10 4

(CUSIP Number)

December 31, 2013

(Date of Event Which Requires Filing of This Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

¨ Rule 13d-1(b)

¨ Rule 13d-1(c)

x Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Menlo Ventures X, L.P.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

2,431,933

   6.   

Shared Voting Power

 

-0-

   7.   

Sole Dispositive Power

 

2,431,933

   8.   

Shared Dispositive Power

 

-0-

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,431,933

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.62%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

 

Page 2 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Menlo Entrepreneurs Fund X, L.P.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

20,671

   6.   

Shared Voting Power

 

-0-

   7.   

Sole Dispositive Power

 

20,671

   8.   

Shared Dispositive Power

 

-0-

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

20,671

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.06%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

 

Page 3 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

MMEF X, L.P.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

42,558

   6.   

Shared Voting Power

 

-0-

   7.   

Sole Dispositive Power

 

42,558

   8.   

Shared Dispositive Power

 

-0-

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

42,558

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

0.13%

12.  

Type of Reporting Person (See Instructions)

 

PN

 

 

Page 4 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

MV Management X, L.L.C.

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

2,495,162

   6.   

Shared Voting Power

 

-0-

   7.   

Sole Dispositive Power

 

2,495,162

   8.   

Shared Dispositive Power

 

-0-

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.81%

12.  

Type of Reporting Person (See Instructions)

 

OO

 

 

Page 5 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Henry D. Montgomery

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,495,162

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,495,162

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.81%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

 

Page 6 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Douglas C. Carlisle

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,495,162

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,495,162

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.81%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

 

Page 7 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

John W. Jarve

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,495,162

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,495,162

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.81%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

 

Page 8 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Sonja H. Perkins

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,495,162

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,495,162

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.81%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

 

Page 9 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Mark A. Siegel

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,495,162

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,495,162

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.81%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

 

Page 10 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Pravin A. Vazirani

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,495,162

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,495,162

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.84%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

 

Page 11 of 15 pages

CUSIP No.: 98872B 10 4  

 

  1.   

Name of Reporting Persons

 

Shawn T. Carolan

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨        (b)  ¨

  3.  

SEC USE ONLY

 

  4.  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With:

    5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

2,495,162

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

2,495,162

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

2,495,162

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.  

Percent of Class Represented by Amount in Row (9)

 

7.81%

12.  

Type of Reporting Person (See Instructions)

 

IN

 

 

Page 12 of 15 pages

Item 1.

 

  (a) Name of Issuer: YuMe, Inc.

 

  (b) Address of Issuer’s Principal Executive Offices: 1204 Middlefield Road, Redwood City, CA 94063 USA

Item 2.

 

  (a) Name of Person Filing:

Menlo Ventures X, L.P. (“MV X”)

Menlo Entrepreneurs Fund X, L.P. (“MEF X”)

MMEF X, L.P. (“MMEF X”)

MV Management X, L.L.C. (“MVM X”)

Henry D. Montgomery (“HDM”)

Douglas C. Carlisle (“DCC”)

John W. Jarve (“JWJ”)

Sonja H. Perkins (“SHP”)

Mark A. Siegel (“MAS”)

Pravin A. Vazirani (“PAV”)

Shawn T. Carolan (“STC”)

 

  (b) Address of Principal Business Office or, if none, Residence

3000 Sand Hill Road

Building 4, Suite 100

Menlo Park, CA 94025

 

  (c) Citizenship:

 

Entities:    MV X    –    Delaware
   MEF X    –    Delaware
   MMEF X    –    Delaware
   MVM X    –    Delaware
Individuals:    HDM    –    United States
   DCC    –    United States
   JWJ    –    United States
   SLH    –    United States
   MAS    –    United States
   PAV    –    United States
   STC    –    United States

 

  (d) Title of Class of Securities: Common Stock

 

  (e) CUSIP Number: 98872B 10 4

 

Item 3. If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:

Not applicable

 

Page 13 of 15 pages

Item 4. Ownership. The following information with respect to the ownership of the Common Stock by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2013:

 

          MV X     MEF X     MMEF
X		     MVM X     HDM     DCC  

(a)

    Beneficial Ownership      2,431,933        20,671        42,558        2,495,162        2,495,162        2,495,162   

(b)

    Percentage of Class      7.62 %      0.06 %      0.13 %      7.81 %      7.81 %      7.81 % 

(c)

    Sole Voting Power      2,431,933        20,671        42,558        2,495,162        -0-        -0-   
   Shared Voting Power      -0-        -0-        -0-        -0-        2,495,162        2,495,162   
   Sole Dispositive Power      2,431,933        20,671        42,558        2,495,162        0        0   
   Shared Dispositive Power      -0-        -0-        -0-        -0-        2,495,162        2,495,162   

 

          JWJ     SHP     MAS     PAV     STC  

(a)

    Beneficial Ownership      2,495,162        2,495,162        2,495,162        2,495,162        2,495,162   

(b)

    Percentage of Class      7.81 %      7.81 %      7.81 %      7.81 %      7.81 % 

(c)

    Sole Voting Power      -0-        -0-        -0-        -0-        -0-   
   Shared Voting Power      2,495,162        2,495,162        2,495,162        2,495,162        2,495,162   
   Sole Dispositive Power      -0-        -0-        -0-        -0-        -0-   
   Shared Dispositive Power      2,495,162        2,495,162        2,495,162        2,495,162        2,495,162   

 

Item 5. Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  ¨.

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person

Not applicable

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

Not applicable

 

Item 8. Identification and Classification of Members of the Group

Not applicable

 

Item 9. Notice of Dissolution of a Group

Not applicable

 

Item 10. Certification

Not applicable

 

Page 14 of 15 pages

SIGNATURES

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 10, 2014

 

MENLO VENTURES X, L.P.     MENLO ENTREPRENEURS FUND X, L.P
By:   MV Management X, L.L.C.     By:   MV Management X, L.L.C.
  its general partner       its general partner
  By  

/s/ Pravin A. Vazirani

       By  

/s/ Pravin A. Vazirani

    Managing Member         Managing Member
MMEF X, L.P        
By:   MV Management X, L.L.C.        
  its general partner        
  By  

/s/ Pravin A. Vazirani

        
    Managing Member        
MV MANAGEMENT X, L.L.C.        
 

/s/ Henry D. Montgomery

     

/s/ John W. Jarve

  Henry D. Montgomery       John W. Jarve
 

/s/ Douglas C. Carlisle

      

/s/ Sonja H. Perkins

  Douglas C. Carlisle       Sonja H. Perkins
 

/s/ Mark A. Siegel

      

/s/ Pravin A. Vazirani

  Mark A. Siegel       Pravin A. Vazirani
 

/s/ Shawn T. Carolan

        
  Shawn T. Carolan        

 

Exhibit(s):   99.1: Joint Filing Statement

 

Page 15 of 15 pages

EX-99.1 2 d675133dex991.htm EX-99.1 EX-99.1

EXHIBIT 99.1

AGREEMENT

Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of YuMe, Inc.

Date: February 10, 2014

 

MENLO VENTURES X, L.P.     MENLO ENTREPRENEURS FUND X, L.P
By:   MV Management X, L.L.C.     By:   MV Management X, L.L.C.
  its general partner       its general partner
  By  

/s/ Pravin A. Vazirani

       By  

/s/ Pravin A. Vazirani

    Managing Member         Managing Member
MMEF X, L.P        
By:   MV Management X, L.L.C.        
  its general partner        
  By  

/s/ Pravin A. Vazirani

        
    Managing Member        
MV MANAGEMENT X, L.L.C.        
 

/s/ Henry D. Montgomery

    

/s/ John W. Jarve

  Henry D. Montgomery     John W. Jarve
 

/s/ Douglas C. Carlisle

    

/s/ Sonja H. Perkins

  Douglas C. Carlisle     Sonja H. Perkins
 

/s/ Mark A. Siegel

    

/s/ Pravin A. Vazirani

  Mark A. Siegel     Pravin A. Vazirani
 

/s/ Shawn T. Carolan

        
  Shawn T. Carolan