SEC Form 4 · accession 0001104659-16-141056
INVIVO THERAPEUTICS HOLDINGS CORP. · NVIV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard John Roberts
Director
Period of report
Aug 19, 2016
Accepted (ET)
Aug 23, 2016 · 4:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001292519
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 19, 2016 | M | 70,000 | $0.2904 | A | 127,500 | 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) | $0.2904 | Aug 19, 2016 | M | 70,000 | D | Jun 1, 2007 | Jun 1, 2017 | Common Stock | 70,000 | 58,403 | D |