SEC Form 4 · accession 0001615774-17-002629
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas B Miller
Officer — Chief Financial Officer
Period of report
May 19, 2017
Accepted (ET)
May 23, 2017 · 4:10 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 | holding | — | — | — | 78,354 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common Stock | $1.47 | May 19, 2017 | P | 3,000 | A | Mar 14, 2017 | Mar 14, 2022 | Common Stock | 3,000 | 70,435 | D |
| Warrant to Purchase Common Stock | $1.47 | May 22, 2017 | P | 5,200 | A | Mar 14, 2017 | Mar 14, 2022 | Common Stock | 5,200 | 75,635 | D |
| Warrant to Purchase Common Stock | $1.47 | May 22, 2017 | P | 5,000 | A | Mar 14, 2017 | Mar 14, 2022 | Common Stock | 5,000 | 80,635 | D |
| Warrant to Purchase Common Stock | $1.47 | May 22, 2017 | P | 5,500 | A | Mar 14, 2017 | Mar 14, 2022 | Common Stock | 5,500 | 86,135 | D |
| Non-qualified Stock Option (right to buy)F2 | $1.97 | holding | — | — | — | Jan 3, 2018 | Jan 3, 2027 | Common Stock | 181,980 | 181,980 | D |
| Non-qualified Stock Option (right to buy)F2 | $4.10 | holding | — | — | — | Jan 21, 2017 | Jan 21, 2026 | Common Stock | 38,225 | 38,225 | D |
| Non-qualified Stock Option (right to buy)F3 | $7.00 | holding | — | — | — | Aug 1, 2015 | Aug 1, 2024 | Common Stock | 175,000 | 175,000 | D |
| Non-qualified Stock Option (right to buy)F3 | $13.09 | holding | — | — | — | Mar 25, 2016 | Mar 25, 2025 | Common Stock | 12,907 | 12,907 | D |
Explanation of responses
- F1Previously reported.
- F2Options 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.
- F3Options vest in 4 yearly increments starting with the Date Exercisable.