SEC Form 4 · accession 0001615774-15-001335
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfred E Mann
Director · 10% Owner
Period of report
Jun 1, 2015
Accepted (ET)
Jun 2, 2015 · 9:30 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 | Jun 1, 2015 | A | 8,198 | $12.32 | A | 33,198 | D | |
| COMMON STOCKF3 | holding | — | — | — | 10,917,059 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WARRANTF4 | $5.00 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2017 | COMMON STOCK | 50,548 | 50,548 | I |
| WARRANTF4 | $5.00 | holding | — | — | — | Feb 23, 2013 | Feb 28, 2018 | COMMON STOCK | 21,584 | 21,584 | I |
Explanation of responses
- F18,198 shares are awarded to Mr. Mann for serving on the Board of the Directors of the Company and its committees.
- F2Amount of shares granted was calculated based on an average closing price of "EYES" stock for the preceding twenty trading days of our common stock on its principal exchange.
- F3As previously reported on Form 3 filed with the Commission on November 18, 2014, 5,210,775 shares are owned by Alfred E. Mann Living Trust and 5,706,284 shares are owned by Incumed, LLC.
- F4By Alfred E. Mann Living Trust.