SEC Form 4 · accession 0001615774-17-003028
Vivani Medical, Inc. · VANI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J. Greenberg
Officer — Chairman of Board · Director
Period of report
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 5:02 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 | May 31, 2017 | A | 13,090 | $0.978 | A | 186,001 | D | |
| Common StockF1 | Jun 5, 2017 | A | 13,090 | $1.13 | D | 172,911 | 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 | $1.97 | holding | — | — | — | Jan 3, 2018 | Jan 3, 2027 | Common Stock | 256,410 | 256,410 | D |
| Non-Qualified Stock Option (right to buy)F2 | $4.10 | holding | — | — | — | Jan 21, 2017 | Jan 21, 2026 | Common Stock | 57,563 | 57,563 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | Feb 1, 2009 | Feb 1, 2018 | Common Stock | 23,750 | 23,750 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | Nov 1, 2009 | Nov 1, 2018 | Common Stock | 150,000 | 150,000 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | Feb 1, 2010 | Feb 1, 2019 | Common Stock | 33,750 | 33,750 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | Feb 1, 2011 | Feb 1, 2020 | Common Stock | 103,750 | 103,750 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | Mar 1, 2012 | Mar 1, 2021 | Common Stock | 41,563 | 41,563 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | Mar 1, 2013 | Mar 1, 2022 | Common Stock | 38,750 | 38,750 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.00 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2024 | Common Stock | 46,875 | 46,875 | D |
| Non-Qualified Stock Option (right to buy)F3 | $9.00 | holding | — | — | — | Sep 26, 2015 | Sep 26, 2024 | Common Stock | 414,659 | 414,659 | D |
| Non-Qualified Stock Option (right to buy)F3 | $13.09 | holding | — | — | — | Mar 25, 2016 | Mar 25, 2025 | Common Stock | 31,250 | 31,250 | D |
Explanation of responses
- F113,090 shares, acquired as part of scheduled ESPP purchases, were sold on 6/5/2017.
- 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