SEC Form 4 · accession 0001437749-18-017688
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregg Williams
Director · 10% Owner
Period of report
Sep 28, 2018
Accepted (ET)
Oct 1, 2018 · 8:56 pm EDT
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 | Sep 28, 2018 | P | 9,223 | $1.902 | A | 30,382,857 | I | See footnote |
| Common StockF1,F3,F4 | Oct 1, 2018 | P | 15,875 | $1.861 | A | 30,398,732 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sam B Williams 95 GST Trust ("GST") acquired 4,611 shares of common stock on September 28, 2018 and 7,938 shares on October 1, 2018. The Gregg G. Williams 2006 Trust ("GW Trust") acquired 4,612 shares of common stock on September 28, 2018 and 7,937 shares on October 1, 2018. Purchases were made pursuant to a 10b5-1 plan dated June 14, 2018. Mr. Williams is a trustee of both trusts.
- F2Represents the weighted average price for the shares. The shares were purchased at prices ranging from $1.88 per share to $1.93 per share. The reporting person will provide to the Securities and Exchange Commission staff, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
- F3Represents the weighted average price for the shares. The shares were purchased at prices ranging from $1.81 per share to $1.90 per share. The reporting person will provide to the Securities and Exchange Commission staff, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
- F4After giving effect to the transactions reported on this Form 4, shares beneficially owned by Mr. Williams include (i) 17,556,728 shares of common stock and warrants to purchase 6,802,721 shares of common stock owned by GW Trust, (ii) 1,484,254 shares of common stock owned by Williams International Co. LLC, whose manager is Mr. Williams, (iii) 4,358,082 shares of common stock owned by Sam Williams Family Investments LLC, whose manager is Mr. Williams, and (iv) 6,999,668 shares of common stock owned by GST.