SEC Form 4 · accession 0001209191-19-013582
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Will McGuire
Officer — Chief Executive Officer · Director
Period of report
Feb 22, 2019
Accepted (ET)
Feb 26, 2019 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001266806
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 22, 2019 | A | 6,954 | — | A | 120,080 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to Purchase Common StockF1,F2 | $1.47 | Feb 22, 2019 | A | 6,954 | A | Feb 22, 2019 | Mar 14, 2024 | Common Stock | 6,954 | 13,748 | D |
Explanation of responses
- F16,954 shares of common stock and 6,954 warrants to purchase shares of common stock were acquired in a Rights Offering with the final allocation of shares confirmed on February 22, 2019.
- F2The common stock and warrants reported on this Form 4, were acquired upon exercise of subscription rights to purchase units previously distributed by the Issuer to holders of its common stock. Each unit consisted of one share of common stock and one warrant. The purchase price was $0.724 per unit.