SEC Form 4 · accession 0001615774-16-005759
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Mendelsohn
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 4:24 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, 2016 | A | 14,171 | $3.9515 | A | 156,984 | D | |
| COMMON STOCKF3 | holding | — | — | — | 764,179 | 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 | 50,548 | 0 | I |
| WARRANTF4 | $5.00 | holding | — | — | — | Feb 23, 2013 | Feb 28, 2018 | COMMON STOCK | 21,584 | 0 | I |
Explanation of responses
- F1The Company awarded 14,171 shares to Mr. Mendelsohn as compensation for serving on the Board of the Directors of the Company and its committees.
- F2Price per share constitutes an average closing price of Company's Stock for the preceding twenty trading days on its preincipal exchange.
- F3As previously reported on Form 5 filed with the Commission on February 16, 2016.
- F4As previously reported on Form 3 filed with the Commission on November 19, 2014.