SEC Form 4 · accession 0001615774-16-005768
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
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 6:40 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 | 16,786 | $3.9515 | A | 22,225 | D | |
| COMMON STOCKF3 | holding | — | — | — | 5,810,180 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WARRANTF3 | $5.00 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2017 | COMMON STOCK | 214,921 | 214,921 | I |
| WARRANTF3 | $5.00 | holding | — | — | — | Feb 23, 2013 | Feb 28, 2018 | COMMON STOCK | 240,000 | 240,000 | I |
Explanation of responses
- F1Awarded to Mr. Williams as compensation for serving on the Board of Directors and its committees.
- F2Price per share constitutes an average closing price of Company's stock for the preceding twenty trading days on its principal exchange.
- F3Previously reported on Form 4, filed with the Commission on February 10, 2016.