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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>UNITED STATES<br>
<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">SECURITIES AND EXCHANGE COMMISSION</font></b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Washington, D.C. 20549</b></p>

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<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>FORM<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;8-K</font></b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>CURRENT REPORT</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Pursuant to Section<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;13 or 15(d)<br>
of the Securities Exchange Act of 1934</font></b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>October </b><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>2</b><b>, </b><b>2017</b></font></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">Date of Report (Date of earliest event reported)</p>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>YuMe,<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;Inc.</font></b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Exact name of registrant as specified in its charter)</p>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Delaware</b></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>001-36039</b></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>27-0111478</b></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(State or other jurisdiction</p>
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			<td style="width: 34%; vertical-align: top;">
			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Commission</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(IRS Employer</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">of incorporation)</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">File Number)</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">Identification No.)</p>
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<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>1204 Middlefield Road, Redwood City, CA</b></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>94063</b></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Address of principal executive offices)</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Zip Code)</p>
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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">Registrant<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&rsquo;s telephone number, including area code: <b>(650) 591-9400</b></font></p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">(Former name or former address, if changed since last report.)</p>

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<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Check the appropriate box below if the Form<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:</font></p>

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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;</p>
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			<p style="margin: 0pt 72pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Written communications pursuant to Rule425 under the Securities Act (17 CFR<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"> 230.425)&nbsp;</font></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Soliciting material pursuant to Rule14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Pre-commencement communications pursuant to Rule14d-2(b)under the Exchange Act (17 CFR 240.14d-2(b))</p>
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<p style="margin: 0pt 0pt 0pt 18pt; text-align: left; text-indent: -18pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9744;</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Pre-commencement communications pursuant<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"> to Rule&nbsp;13e-4(c)&nbsp;under the Exchange Act (17 CFR 240.13e-4(c))&nbsp;</font></p>
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<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</font></p>

<p style="margin: 0pt 7.2pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&sect;<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&sect;240.12b-2 of this chapter).</font></p>

<p style="margin: 0pt 7.5pt; text-align: right; text-indent: -7.5pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">Emerging growth company<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</font><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9746;</font><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</font></p>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<p style="margin: 0pt 7.2pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial acco<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">unting standards provided pursuant to Section 13(a) of the Exchange Act.&nbsp;</font><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&#9746;</font></p>

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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Item<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;2.05</font></b></p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Costs Associated with Exit or Disposal Activities.</b></font></p>
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<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt; background-color: rgb(255, 255, 255);">&nbsp;</p>

<p style="margin: 0pt; text-align: justify; text-indent: 18pt; font-family: Times New Roman, Times, serif; font-size: 10pt; background-color: rgb(255, 255, 255);">On <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">October 2, 2017, YuMe, Inc. (the &ldquo;Company&rdquo;) adopted a plan to restructure and streamline certain of its operations to further reduce the Company&rsquo;s operating expenses&nbsp;and streamline and focus its European operations on its programmatic business. The Company anticipates that the restructuring plan will focus on its operations in the United Kingdom, will be implemented before the end of the first quarter of 2018 and is currently expected to result in fourth quarter 2017 cost savings between approximately $0.4 million and $0.6 million. The main elements of the Company&rsquo;s restructuring plan include a workforce reduction and real estate consolidation focused in the United Kingdom. </font></p>

<p style="margin: 0pt; text-align: justify; text-indent: 18pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: justify; text-indent: 18pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">As part of the restructuring plan, the Company expects <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">to reduce its workforce by approximately 3%&nbsp;by the end of 2017. The changes to the workforce will be governed by local legal requirements, as appropriate. In the fourth quarter of 2017, the Company currently expects the workforce reduction to result in one-time severance costs of approximately $0.2 million and all other actions under the plan, including the real estate consolidation, to result in costs between approximately $0.1 million and $0.3 million.</font><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"> </font></p>

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<p style="margin: 0pt; text-align: justify; text-indent: 18pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">This Item 2.05 contains forward-looking statements, including those relating to the expected costs and savings that may result from the planned restructuring. These forward-looking statements involve risks and uncertainties. Factors that could cause actual results to be different from those anticipated or contribute to such differences include the incurrence of unanticipated costs as the Company implements its restructuring plan, the failure to recognize the anticipated costs savings in the expected period, or at all, adverse consequences to the Company<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&rsquo;s business as a result of these restructuring activities, including an adverse impact on the Company&rsquo;s sales efforts, customer relationships and relations with employees that remain with the Company. These and other risk factors are discussed under &ldquo;Risk Factors&rdquo; in our Quarterly Report on Form 10-Q for the quarter ended&nbsp;June 30, 2017&nbsp;that has been filed with the&nbsp;U.S. Securities and Exchange Commission&nbsp;(the &ldquo;SEC&rdquo;) and can be found at www.sec.gov, and in our future filings and reports with the&nbsp;SEC. The forward-looking statements in this Current Report on Form 8-K are based on information available to the Company as of the date hereof, and the Company assumes no obligation to update any forward-looking statements, except as required by law.</font></p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>SIGNATURES</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt; text-align: left; text-indent: 18pt; font-family: Times New Roman, Times, serif; font-size: 10pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"> report to be signed on its behalf by the undersigned hereunto duly authorized.</font></p>

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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>YuMe,<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;Inc.</font></b></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">/s/ <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">Paul Porrini</font></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Paul Porrini</p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><i>Chief </i><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><i>Executive</i><i> Officer</i></font></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><i>(</i><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><i>Chief</i><i>&nbsp;</i><i>Executive</i><i> Officer and Duly Authorized Signatory)</i></font></p>
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			<p style="margin: 0pt 0.8pt 0pt 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Dated: <font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">October 6,&nbsp;2017</font></p>
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{"company-data": {"conformed-name": "YuMe Inc", "cik": "0001415624", "assigned-sic": "7311", "irs-number": "000000000", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-36039", "film-number": "171127961"}, "business-address": {"street1": "1204 MIDDLEFIELD ROAD", "city": "Redwood City", "state": "CA", "zip": "94063", "phone": "650-591-9400"}, "mail-address": {"street1": "1204 MIDDLEFIELD ROAD", "city": "Redwood City", "state": "CA", "zip": "94063"}, "former-company": {"former-conformed-name": "Yume Inc", "date-changed": "20071018"}}
yume20171006_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT REPORT
Pursuant to Section
13 or 15(d)
of the Securities Exchange Act of 1934
October
2
,
2017
Date of Report (Date of earliest event reported)
YuMe,
Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-36039
27-0111478
(State or other jurisdiction
(Commission
(IRS Employer
of incorporation)
File Number)
Identification No.)
1204 Middlefield Road, Redwood City, CA
94063
(Address of principal executive offices)
(Zip Code)
Registrant
's telephone number, including area code:
(650) 591-9400
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form
8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule425 under the Securities Act (17 CFR
230.425)
☐
Soliciting material pursuant to Rule14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule14d-2(b)under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant
to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§
230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial acco
unting standards provided pursuant to Section 13(a) of the Exchange Act.
☒
Item
2.05
Costs Associated with Exit or Disposal Activities.
On
October 2, 2017, YuMe, Inc. (the "Company") adopted a plan to restructure and streamline certain of its operations to further reduce the Company's operating expenses and streamline and focus its European operations on its programmatic business. The Company anticipates that the restructuring plan will focus on its operations in the United Kingdom, will be implemented before the end of the first quarter of 2018 and is currently expected to result in fourth quarter 2017 cost savings between approximately $0.4 million and $0.6 million. The main elements of the Company's restructuring plan include a workforce reduction and real estate consolidation focused in the United Kingdom.
As part of the restructuring plan, the Company expects
to reduce its workforce by approximately 3% by the end of 2017. The changes to the workforce will be governed by local legal requirements, as appropriate. In the fourth quarter of 2017, the Company currently expects the workforce reduction to result in one-time severance costs of approximately $0.2 million and all other actions under the plan, including the real estate consolidation, to result in costs between approximately $0.1 million and $0.3 million.
This Item 2.05 contains forward-looking statements, including those relating to the expected costs and savings that may result from the planned restructuring. These forward-looking statements involve risks and uncertainties. Factors that could cause actual results to be different from those anticipated or contribute to such differences include the incurrence of unanticipated costs as the Company implements its restructuring plan, the failure to recognize the anticipated costs savings in the expected period, or at all, adverse consequences to the Company
's business as a result of these restructuring activities, including an adverse impact on the Company's sales efforts, customer relationships and relations with employees that remain with the Company. These and other risk factors are discussed under "Risk Factors" in our Quarterly Report on Form 10-Q for the quarter ended June 30, 2017 that has been filed with the U.S. Securities and Exchange Commission (the "SEC") and can be found at www.sec.gov, and in our future filings and reports with the SEC. The forward-looking statements in this Current Report on Form 8-K are based on information available to the Company as of the date hereof, and the Company assumes no obligation to update any forward-looking statements, except as required by law.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this
report to be signed on its behalf by the undersigned hereunto duly authorized.
YuMe,
Inc.
/s/
Paul Porrini
Paul Porrini
Chief
Executive
Officer
(
Chief
Executive
Officer and Duly Authorized Signatory)
Dated:
October 6, 2017