SEC Form 4 · accession 0001615774-17-002941
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J Pfeffer
Director
Period of report
Jun 1, 2017
Accepted (ET)
Jun 5, 2017 · 8:20 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, 2017 | A | 59,725 | $1.172 | A | 82,768 | 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 | holding | — | — | — | Mar 14, 2017 | Mar 14, 2022 | Common Stock | 5,582 | 5,582 | D |
Explanation of responses
- F1Awarded to Mr. Pfeffer 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.
Remarks
* Power-of-Attorney attached as exhibit