SEC Form 4 · accession 0001615774-15-001344
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregg Williams
Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 1:15 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 | 5,439 | $12.32 | A | 5,439 | D | |
| Common StockF3 | holding | — | — | — | 5,810,180 | I | , |
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 | 214,921 | 214,921 | I |
| WarrantF4 | $5.00 | holding | — | — | — | Feb 23, 2013 | Feb 28, 2018 | Common Stock | 240,000 | 240,000 | I |
Explanation of responses
- F15,439 shares awarded to Mr. Williams as payment for serving on the Board of the Directors of the Company and its committees.
- F2Amount of shares awarded 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 4 filed with the Commission on November 18, 2014, 111,111 shares are owned by Williams International Co. LLC and 5,699,069 shares are owned by Sam Williams Trust. Mr. Williams is deemed to be a beneficial owner of these shares.
- F4By Sam Williams Trust. Previously reported on Form 3 filed with the Commission on November 18, 2014.