0001140361-13-031747.txt : 20130812 0001140361-13-031747.hdr.sgml : 20130812 20130812164819 ACCESSION NUMBER: 0001140361-13-031747 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130812 FILED AS OF DATE: 20130812 DATE AS OF CHANGE: 20130812 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Accel Investors 2006 L.L.C. CENTRAL INDEX KEY: 0001376781 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36039 FILM NUMBER: 131030277 BUSINESS ADDRESS: STREET 1: 428 UNIVERSITY AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-614-4800 MAIL ADDRESS: STREET 1: 428 UNIVERSITY AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACCEL IX STRATEGIC PARTNERS LP CENTRAL INDEX KEY: 0001315534 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36039 FILM NUMBER: 131030278 BUSINESS ADDRESS: STREET 1: 428 UNIVERSITY AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-614-4800 MAIL ADDRESS: STREET 1: 428 UNIVERSITY AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACCEL IX LP CENTRAL INDEX KEY: 0001307855 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36039 FILM NUMBER: 131030279 BUSINESS ADDRESS: STREET 1: 428 UNIVERSITY AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506144800 MAIL ADDRESS: STREET 1: 428 UNIVERSITY AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 4 1 doc1.xml FORM 4 X0306 4 2013-08-12 0 0001415624 YuMe Inc YUME 0001307855 ACCEL IX LP C/O ACCEL PARTNERS 428 UNIVERSITY AVENUE PALO ALTO CA 94301 0 0 1 0 0001315534 ACCEL IX STRATEGIC PARTNERS LP C/O ACCEL PARTNERS 428 UNIVERSITY AVENUE PALO ALTO CA 94301 0 0 1 0 0001376781 Accel Investors 2006 L.L.C. C/O ACCEL PARTNERS 428 UNIVERSITY AVENUE PALO ALTO CA 94301 0 0 1 0 Common Stock 2013-08-12 4 C 0 17436 A 89513 D Common Stock 2013-08-12 4 C 0 2205864 A 2295377 D Common Stock 2013-08-12 4 C 0 533028 A 2828405 D Common Stock 2013-08-12 4 C 0 529878 A 3358283 D Common Stock 2013-08-12 4 C 0 810215 A 4168498 D Common Stock 2013-08-12 4 C 0 1848 A 9536 I By Accel IX Strategic Partners L.P. Common Stock 2013-08-12 4 C 0 234999 A 244535 I By Accel IX Strategic Partners L.P. Common Stock 2013-08-12 4 C 0 56785 A 301320 I By Accel IX Strategic Partners L.P. Common Stock 2013-08-12 4 C 0 56450 A 357770 I By Accel IX Strategic Partners L.P. Common Stock 2013-08-12 4 C 0 86315 A 444085 I By Accel IX Strategic Partners L.P. Common Stock 2013-08-12 4 C 0 1640 A 8461 I By Accel Investors 2006 L.L.C. Common Stock 2013-08-12 4 C 0 208505 A 216966 I By Accel Investors 2006 L.L.C. Common Stock 2013-08-12 4 C 0 50383 A 267349 I By Accel Investors 2006 L.L.C. Common Stock 2013-08-12 4 C 0 50086 A 317435 I By Accel Investors 2006 L.L.C. Common Stock 2013-08-12 4 C 0 76584 A 394019 I By Accel Investors 2006 L.L.C. Series A-1 Convertible Preferred Stock 2013-08-12 4 C 0 104075 D Common Stock 17346 0 D Series A-2 Convertible Preferred Stock 2013-08-12 4 C 0 13235185 D Common Stock 2205864 0 D Series B Convertible Preferred Stock 2013-08-12 4 C 0 2983305 D Common Stock 533028 0 D Series C Convertible Preferred Stock 2013-08-12 4 C 0 3179267 D Common Stock 529878 0 D Series D Convertible Preferred Stock 2013-08-12 4 C 0 4846670 D Common Stock 810215 0 D Series A-1 Convertible Preferred Stock 2013-08-12 4 C 0 11087 D Common Stock 1848 0 I By Accel IX Strategic Partners L.P. Series A-2 Convertible Preferred Stock 2013-08-12 4 C 0 1409994 D Common Stock 234999 0 I By Accel IX Strategic Partners L.P. Series B Convertible Preferred Stock 2013-08-12 4 C 0 317823 D Common Stock 56785 0 I By Accel IX Strategic Partners L.P. Series C Convertible Preferred Stock 2013-08-12 4 C 0 338698 D Common Stock 56450 0 I By Accel IX Strategic Partners L.P. Series D Convertible Preferred Stock 2013-08-12 4 C 0 516333 D Common Stock 86315 0 I By Accel IX Strategic Partners L.P. Series A-1 Convertible Preferred Stock 2013-08-12 4 C 0 9838 D Common Stock 1640 0 I By Accel Investors 2006 L.L.C. Series A-2 Convertible Preferred Stock 2013-08-12 4 C 0 1251032 D Common Stock 208505 0 I By Accel Investors 2006 L.L.C. Series B Convertible Preferred Stock 2013-08-12 4 C 0 281991 D Common Stock 50383 0 I By Accel Investors 2006 L.L.C. Series C Convertible Preferred Stock 2013-08-12 4 C 0 300514 D Common Stock 50086 0 I By Accel Investors 2006 L.L.C. Series D Convertible Preferred Stock 2013-08-12 4 C 0 458123 D Common Stock 76584 0 I By Accel Investors 2006 L.L.C. Each share of Series A-1, Series A-2, and Series C Convertible Preferred Stock converted into 0.1666666667 shares of the Issuer's common stock upon completion of the Issuer's initial public offering, and had no expiration date. This conversion ratio reflects an adjustment following a 1-for-6 reverse stock split effected by the Issuer on July 24, 2013. All shares of common stock (including fractions thereof) issued upon conversion were aggregated for each stockholder. No fractional share was issued upon the conversion of any share or shares of Preferred Stock. Each share of Series B Convertible Preferred Stock converted into 0.1786704776 shares of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 1-for-6 reverse stock split effected by the Issuer on July 24, 2013. All shares of common stock (including fractions thereof) issued upon conversion were aggregated for each stockholder. No fractional share was issued upon the conversion of any share or shares of Preferred Stock. Each share of Series D Convertible Preferred Stock converted into 0.1671693477 shares of the Issuer's common stock upon completion of the Issuer's initial public offering, and had no expiration date. This conversion ratio reflects an adjustment following a 1-for-6 reverse stock split effected by the Issuer on July 24, 2013. All shares of common stock (including fractions thereof) issued upon conversion were aggregated for each stockholder. No fractional share was issued upon the conversion of any share or shares of Preferred Stock. Accel IX Associates L.L.C. ("A9A"), which is the General Partner of Accel IX L.P. ("Accel IX"), has sole voting and investment power over the securities held by Accel IX. A9A disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein. In addition, each of Kevin Efrusy, Ping Li (who is a director of the Issuer) Arthur C. Patterson, Theresia Gouw and James W. Breyer is a Managing Member of A9A and may be deemed to share voting and investment power over the shares held of record by Accel IX. Each of such individuals disclaims beneficial ownership of such securities except to the extent of his or her pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. A9A, which is the General Partner of Accel IX Strategic Partners L.P. ("Accel SP"), has sole voting and investment power over the securities held by Accel SP. A9A disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein. In addition, each of Kevin Efrusy, Ping Li (who is a director of the Issuer), Arthur C. Patterson, Theresia Gouw and James W. Breyer, is a Managing Member of A9A and may be deemed to share voting and investment power over the shares held of record by Accel SP. Each of such individuals disclaims beneficial ownership of such securities except to the extent of his or her pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. James W. Breyer, Kevin J. Efrusy, Ping Li (a director of the Issuer), Arthur C. Patterson and Theresia Gouw are the managing members of Accel Investors 2006 L.L.C. ("AI2006") and share the voting and investment powers over the shares held by AI2006. Each managing member disclaims beneficial ownership except to the extent of his or her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose. /s/ Tracy L. Sedlock as attorney-in-fact for the Reporting Persons 2013-08-12