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