SEC Form 4 · accession 0001209191-15-025245
ReShape Lifesciences Inc. · RSLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory S Lea
Officer — SVP, CFO and COO
Period of report
Mar 9, 2015
Accepted (ET)
Mar 11, 2015 · 5:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001371217
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 2,750 | 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)F6 | $1.11 | Mar 9, 2015 | A | 175,000 | A | Apr 9, 2015 | Mar 9, 2025 | Common Stock | 175,000 | 175,000 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 16,711 | 16,711 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 3,913 | 3,913 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 16,118 | 16,118 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 14,597 | 14,597 | D |
| Stock Option (right to buy)F3 | $3.78 | holding | — | — | — | — | Nov 18, 2019 | Common Stock | 16,666 | 16,666 | D |
| Warrant (common stock right to buy)F4,F5 | $2.19 | holding | — | — | — | — | — | Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F6 | $2.58 | holding | — | — | — | Mar 16, 2011 | Feb 16, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (right to buy)F6 | $2.67 | holding | — | — | — | Aug 12, 2011 | Jul 12, 2021 | Common Stock | 225,000 | 225,000 | D |
| Stock Option (right to buy)F6 | $1.90 | holding | — | — | — | Jan 14, 2012 | Dec 14, 2021 | Common Stock | 125,000 | 125,000 | D |
| Stock Option (right to buy)F7,F6 | $3.35 | holding | — | — | — | Aug 10, 2012 | Jul 10, 2022 | Common Stock | 863,156 | 863,156 | D |
| Stock Option (right to buy)F6 | $1.31 | holding | — | — | — | Jun 30, 2013 | May 31, 2023 | Common Stock | 1,003,280 | 1,003,280 | D |
Explanation of responses
- F1The total amount noted has been reduced to reflect a correction to the number of shares held by the reporting person based on a Form 5 concurrently filed with this report. All filings made from 2013 to date are deemed to be amended to reflect the correction in shares held.
- F2Options vest 33% on date noted and thereafter at 1/24th per month.
- F3Options currently 100% vested.
- F4Warrant becomes exercisable 181 days from the date of issuance at close of offering.
- F5Warrant expires five years from date it first becomes exercisable.
- F6Vests in increments of 1/48th per month, beginning the date shown.
- F7The exercise price is the closing price on July 10, 2012, the date the board authorized the grants subject to stockholder approval of the increase in the number of shares available for awards under the incentive plan, which was obtained on September 27, 2012.