SEC Form 4 · accession 0001615774-16-003991
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward David Randolph
Officer — VP of Manufacturing
Period of report
Jan 21, 2016
Accepted (ET)
Jan 25, 2016 · 5:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001266806
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F3,F1 | $4.10 | Jan 21, 2016 | A | 11,513 | A | Jan 21, 2017 | Jan 21, 2026 | Common Stock | 11,513 | 11,513 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Aug 1, 2008 | Aug 1, 2017 | Common Stock | 50,000 | 50,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Feb 1, 2009 | Feb 1, 2018 | Common Stock | 2,290 | 2,290 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Nov 1, 2009 | Nov 1, 2018 | Common Stock | 25,000 | 25,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Feb 1, 2010 | Feb 1, 2019 | Common Stock | 6,750 | 6,750 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Feb 1, 2011 | Feb 1, 2020 | Common Stock | 20,750 | 20,750 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Mar 1, 2012 | Mar 1, 2021 | Common Stock | 8,313 | 8,313 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Mar 1, 2013 | Mar 1, 2022 | Common Stock | 7,750 | 7,750 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.00 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2024 | Common Stock | 10,937 | 10,937 | D |
| Non-Qualified Stock Option (right to buy)F2 | $9.00 | holding | — | — | — | Sep 26, 2015 | Sep 26, 2024 | Common Stock | 65,895 | 65,895 | D |
| Non-Qualified Stock Option (right to buy)F2 | $13.09 | holding | — | — | — | Mar 25, 2016 | Mar 25, 2025 | Common Stock | 6,250 | 6,250 | D |
Explanation of responses
- F1Options will vest over a 4 year term, with 25% vesting on the date exercisable as set forth in this Form 4 and thereafter vesting in 12 equal quarterly installments of 6.25%.
- F2Options vest in 4 yearly increments starting with the date exercisable.
- F3N/A