YuMe Inc Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 60 rows, 60 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-02-02: Reporting owner Lares Adriel G; Form 4; Security Stock Options (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-02-02: Reporting owner Habib Mitchell; Form 4; Security Stock Options (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-02-02: Reporting owner Habib Mitchell; Form 4; Security Stock Options (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-02-02: Reporting owner PAISLEY CHRISTOPHER B; Form 4; Security Stock Options (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-02-02 | Lares Adriel G Director | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −47,500 0 owned after | $10.74 exercise price | 2018-02-07 | |
| 2018-02-02 | Habib Mitchell Director | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −47,500 0 owned after | $10.74 exercise price | 2018-02-07 | |
| 2018-02-02 | Habib Mitchell Director | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −31,238 0 owned after | $5.10 exercise price | 2018-02-07 | |
| 2018-02-02 | PAISLEY CHRISTOPHER B Director | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −78,333 0 owned after | $5.94 exercise price | 2018-02-07 | |
| 2018-02-02 | DOMENIK STEPHEN L Director | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −45,056 0 owned after | $4.19 exercise price | 2018-02-07 | |
| 2018-02-02 | HUDES MICHAEL Officer (Chief Revenue Officer) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −250,250 0 owned after | $4.68 exercise price | 2018-02-07 | |
| 2018-02-02 | HUDES MICHAEL Officer (Chief Revenue Officer) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,666 0 owned after | $9.00 exercise price | 2018-02-07 | |
| 2018-02-02 | HUDES MICHAEL Officer (Chief Revenue Officer) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,000 0 owned after | $5.28 exercise price | 2018-02-07 | |
| 2018-02-02 | PORRINI PAUL Officer (President and CEO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −183,333 0 owned after | $4.68 exercise price | 2018-02-06 | |
| 2018-02-02 | PORRINI PAUL Officer (President and CEO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $6.42 exercise price | 2018-02-06 | |
| 2018-02-02 | PORRINI PAUL Officer (President and CEO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $9.00 exercise price | 2018-02-06 | |
| 2018-02-02 | CARVALHO ANTHONY Officer (EVP, Chief Financial Officer) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −63,179 0 owned after | $8.64 exercise price | 2018-02-06 | |
| 2018-02-02 | CARVALHO ANTHONY Officer (EVP, Chief Financial Officer) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $5.28 exercise price | 2018-02-06 | |
| 2018-02-02 | CARVALHO ANTHONY Officer (EVP, Chief Financial Officer) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,725 0 owned after | $9.00 exercise price | 2018-02-06 | |
| 2018-02-02 | SANKARAN AYYAPPAN Officer (EVP, Engineering & CTO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −168,702 0 owned after | $0.60 exercise price | 2018-02-06 | |
| 2018-02-02 | SANKARAN AYYAPPAN Officer (EVP, Engineering & CTO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −83,333 0 owned after | $4.62 exercise price | 2018-02-06 | |
| 2018-02-02 | SANKARAN AYYAPPAN Officer (EVP, Engineering & CTO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −141,977 0 owned after | $6.42 exercise price | 2018-02-06 | |
| 2018-02-02 | SANKARAN AYYAPPAN Officer (EVP, Engineering & CTO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −41,666 0 owned after | $9.00 exercise price | 2018-02-06 | |
| 2018-02-02 | SANKARAN AYYAPPAN Officer (EVP, Engineering & CTO) | 4 | Stock Options (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $5.28 exercise price | 2018-02-06 | |
| 2017-08-02 | DOMENIK STEPHEN L Director | 4 | Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,056 45,056 owned after | $0.00 | 2017-08-04 | |
| 2017-06-27 | SANKARAN AYYAPPAN Director, Officer (EVP, ENGINEERING & CTO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,000 0 owned after | $0.66 exercise price | 2017-06-28 | |
| 2016-11-16 holding as of filing | HUDES MICHAEL Officer (Chief Revenue Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $5.28 exercise price | 2016-11-16 | ||
| 2016-11-16 holding as of filing | HUDES MICHAEL Officer (Chief Revenue Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $9.00 exercise price | 2016-11-16 | ||
| 2016-11-16 holding as of filing | HUDES MICHAEL Officer (Chief Revenue Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.68 exercise price | 2016-11-16 | ||
| 2016-11-16 holding as of filing | HUDES MICHAEL Officer (Chief Revenue Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $5.28 exercise price | 2016-11-16 | ||
| 2016-03-24 | Soss James Officer (EVP, General Mgr North America) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +295,000 295,000 owned after | $3.67 | 2016-03-24 | |
| 2015-05-22 | Li Ping Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,238 31,238 owned after | $5.10 exercise price | 2015-05-27 | |
| 2015-05-22 | Habib Mitchell Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,238 31,238 owned after | $5.10 exercise price | 2015-05-27 | |
| 2014-12-08 | CARVALHO ANTHONY Officer (CHIEF FINANCIAL OFFICER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.04 exercise price | 2014-12-10 | |
| 2014-11-28 | BINDRA HARDEEP Officer (EVP, Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $5.36 exercise price | 2014-12-01 | |
| 2014-08-28 | KADAMBI JAYANT Director, Officer (CHAIRMAN, PRESIDENT, & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $5.23 exercise price | 2014-08-29 | |
| 2014-05-23 holding as of filing | CARVALHO ANTHONY Officer (ACTING CHIEF FINANCIAL OFFICER) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $8.46 exercise price | 2014-05-23 | ||
| 2014-05-23 holding as of filing | CARVALHO ANTHONY Officer (ACTING CHIEF FINANCIAL OFFICER) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $5.28 exercise price | 2014-05-23 | ||
| 2014-05-22 | MCLERNON SCOT Officer (EVP, SALES & CHIEF REVENUE OFC) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.28 exercise price | 2014-05-23 | |
| 2014-05-22 | PORRINI PAUL Officer (EVP, GEN. COUNSEL & SECRETARY) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.28 exercise price | 2014-05-23 | |
| 2014-05-22 | Everett Bryan Officer (EVP, BUS. DEV. & SALES OPS.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.28 exercise price | 2014-05-23 | |
| 2014-05-22 | SANKARAN AYYAPPAN Director, Officer (EVP, ENGINEERING & CTO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.28 exercise price | 2014-05-23 | |
| 2014-02-27 | Everett Bryan Officer (EVP, BUS. DEV. & SALES OPS.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 183,333 owned after | $4.62 exercise price | 2014-03-03 | |
| 2013-08-06 holding as of filing | PAISLEY CHRISTOPHER B Director | 3 | Director Stock Option (Right to Buy) Derivative · Direct | Holding | $5.94 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | Habib Mitchell Director | 3 | Director Stock Option (Right to Buy) Derivative · Direct | Holding | $10.74 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | Lares Adriel G Director | 3 | Director Stock Option (Right to Buy) Derivative · Direct | Holding | $10.74 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | LE CHEVALLIER JOSEPH Officer (CHIEF ACCOUNTING OFFICER) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $10.74 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | PORRINI PAUL Officer (EVP, GEN. COUNSEL & SECRETARY) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.68 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | MCLERNON SCOT Officer (EVP, SALES & CHIEF REVENUE OFC) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.68 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | Everett Bryan Officer (EVP, BUS. DEV. & SALES OPS.) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.62 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | LAEHY TIMOTHY Officer (EVP, FINANCE & CFO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.62 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | SANKARAN AYYAPPAN Director, Officer (EVP, ENGINEERING & CTO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.66 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | SANKARAN AYYAPPAN Director, Officer (EVP, ENGINEERING & CTO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.60 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | SANKARAN AYYAPPAN Director, Officer (EVP, ENGINEERING & CTO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.62 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | SANKARAN AYYAPPAN Director, Officer (EVP, ENGINEERING & CTO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $6.42 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | KADAMBI JAYANT Director, Officer (CHAIRMAN, PRESIDENT, & CEO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.66 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | KADAMBI JAYANT Director, Officer (CHAIRMAN, PRESIDENT, & CEO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.60 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | KADAMBI JAYANT Director, Officer (CHAIRMAN, PRESIDENT, & CEO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.62 exercise price | 2013-08-06 | ||
| 2013-08-06 holding as of filing | KADAMBI JAYANT Director, Officer (CHAIRMAN, PRESIDENT, & CEO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $6.42 exercise price | 2013-08-06 | ||
| 2013-08-06 | PORRINI PAUL Officer (EVP, GEN. COUNSEL & SECRETARY) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $9.00 exercise price | 2013-08-06 | |
| 2013-08-06 | MCLERNON SCOT Officer (EVP, SALES & CHIEF REVENUE OFC) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $9.00 exercise price | 2013-08-06 | |
| 2013-08-06 | Everett Bryan Officer (EVP, BUS. DEV. & SALES OPS.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +66,666 66,666 owned after | $9.00 exercise price | 2013-08-06 | |
| 2013-08-06 | LAEHY TIMOTHY Officer (EVP, FINANCE & CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,339 29,339 owned after | $9.00 exercise price | 2013-08-06 | |
| 2013-08-06 | SANKARAN AYYAPPAN Director, Officer (EVP, ENGINEERING & CTO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,666 41,666 owned after | $9.00 exercise price | 2013-08-06 | |
| 2013-08-06 | KADAMBI JAYANT Director, Officer (CHAIRMAN, PRESIDENT, & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +141,666 141,666 owned after | $9.00 exercise price | 2013-08-06 |