SEC Form 4 · accession 0001615774-17-000048
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward David Randolph
Officer — Vice President of Manufacturin
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 8:07 pm EST
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 | holding | — | — | — | 22 | D |
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)F2,F5,F3 | $1.97 | Jan 3, 2017 | A | 151,170 | A | Jan 3, 2018 | Jan 3, 2027 | Common Stock | 151,170 | 151,170 | D |
| Non-Qualified Stock Option (right to buy)F3 | $4.10 | holding | — | — | — | Jan 21, 2017 | Jan 21, 2026 | Common Stock | 11,513 | 11,513 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Aug 1, 2008 | Aug 1, 2017 | Common Stock | 50,000 | 50,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Feb 1, 2009 | Feb 1, 2018 | Common Stock | 2,290 | 2,290 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Nov 1, 2009 | Nov 1, 2018 | Common Stock | 25,000 | 25,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Feb 1, 2010 | Feb 1, 2019 | Common Stock | 6,750 | 6,750 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Feb 1, 2011 | Feb 1, 2020 | Common Stock | 20,750 | 20,750 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Mar 1, 2012 | Mar 1, 2021 | Common Stock | 8,313 | 8,313 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Mar 1, 2013 | Mar 1, 2022 | Common Stock | 7,750 | 7,750 | D |
| Non-Qualified Stock Option (right to buy)F4 | $5.00 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2024 | Common Stock | 10,937 | 10,937 | D |
| Non-Qualified Stock Option (right to buy)F4 | $9.00 | holding | — | — | — | Sep 26, 2015 | Sep 26, 2024 | Common Stock | 65,895 | 65,895 | D |
| Non-Qualified Stock Option (right to buy)F4 | $13.09 | holding | — | — | — | Mar 25, 2016 | Mar 25, 2025 | Common Stock | 6,250 | 6,250 | D |
Explanation of responses
- F122 shares, acquired as part of scheduled ESSP purchases.
- F2Options to purchase 151,170 shares of the Company's common stock were granted to Mr. Randolph under the Company's 2011 Equity Incentive Plan.
- F3Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter.
- F4Options vest in 4 yearly increments starting with the Date Exercisable.
- F5Not Applicable.