SEC Form 3 · accession 0001179110-17-005298
INVIVO THERAPEUTICS HOLDINGS CORP. · NVIV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher McNulty
Officer — Chief Financial Officer
Period of report
Mar 29, 2017
Accepted (ET)
Mar 31, 2017 · 3:08 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 | holding | — | — | — | 922 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F1 | $8.20 | holding | — | — | — | — | Nov 18, 2023 | Common Stock | 37,500 | — | D |
| Stock option (right to buy)F2 | $4.20 | holding | — | — | — | — | Dec 10, 2024 | Common Stock | 9,375 | — | D |
| Stock option (right to buy)F3 | $14.55 | holding | — | — | — | — | Jul 31, 2025 | Common Stock | 35,000 | — | D |
| Stock option (right to buy)F4 | $7.37 | holding | — | — | — | — | Dec 10, 2025 | Common Stock | 18,800 | — | D |
| Stock option (right to buy)F5 | $6.19 | holding | — | — | — | — | Jun 13, 2026 | Common Stock | 40,000 | — | D |
| Stock option (right to buy)F6 | $4.35 | holding | — | — | — | — | Jan 18, 2027 | Common Stock | 75,000 | — | D |
Explanation of responses
- F1This option became exercisable as to 25% of the shares on November 18, 2014, and the remaining shares began to vest thereafter on a monthly basis in 36 equal monthly installments.
- F2This option became exercisable as to 25% of the shares on December 10, 2015, and the remaining shares began to vest thereafter on a monthly basis in 36 equal monthly installments.
- F3This option became exercisable as to 25% of the shares on July 31, 2016, and the remaining shares began to vest thereafter on a monthly basis in 36 equal monthly installments.
- F4This option became exercisable as to 25% of the shares on December 10, 2016, and the remaining shares began to vest thereafter on a monthly basis in 36 equal monthly installments.
- F5This option becomes exercisable as to 25% of the shares on June 13, 2017, and the remaining shares vest thereafter on a monthly basis in 36 equal monthly installments.
- F6This option becomes exercisable as to 25% of the shares on January 18, 2018, and the remaining shares vest thereafter on a monthly basis in 36 equal monthly installments.
Remarks
Exhibit List: Exhibit 24 - Power of Attorney