SEC Form 4 · accession 0001179110-16-021307
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
Dec 29, 2015
Accepted (ET)
Mar 8, 2016 · 5:36 pm EST
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 | Dec 29, 2015 | M | 20,000 | $0.2904 | A | 30,000 | D | |
| Common Stock | Feb 10, 2016 | M | 35,000 | $0.2904 | A | 65,000 | 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 | $0.2904 | Dec 29, 2015 | M | 20,000 | A | Jun 1, 2007 | Jun 1, 2017 | Common Stock | 20,000 | 163,403 | D |
| Non-qualified stock option | $0.2904 | Feb 10, 2016 | M | 35,000 | A | Jun 1, 2007 | Jun 1, 2017 | Common Stock | 35,000 | 128,403 | D |