SEC Form 4 · accession 0001209191-15-025247
ReShape Lifesciences Inc. · RSLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adrianus Donders
Officer — Sr VP of Research & Adv Dev
Period of report
Mar 9, 2015
Accepted (ET)
Mar 11, 2015 · 5:10 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 |
|---|---|---|---|---|---|---|---|---|
| No securities are held | holding | — | — | — | 0 | 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)F4 | $1.11 | Mar 9, 2015 | A | 75,000 | A | Apr 9, 2015 | Mar 9, 2025 | Common Stock | 75,000 | 75,000 | D |
| Stock Option (right to buy)F1 | $2.76 | holding | — | — | — | — | Apr 11, 2015 | Common Stock | 14,652 | 14,652 | D |
| Stock Option (right to buy)F1 | $2.76 | holding | — | — | — | — | Apr 27, 2015 | Common Stock | 3,663 | 3,663 | D |
| Stock Option (right to buy)F1 | $2.76 | holding | — | — | — | — | Apr 20, 2016 | Common Stock | 5,769 | 5,769 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 7,268 | 7,268 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 5,925 | 5,925 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 1,337 | 1,337 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 10,835 | 10,835 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 5,847 | 5,847 | D |
| Stock Option (right to buy)F1 | $3.78 | holding | — | — | — | — | Nov 18, 2019 | Common Stock | 11,666 | 11,666 | D |
| Stock Option (right to buy)F3 | $2.58 | holding | — | — | — | Mar 16, 2011 | Feb 16, 2021 | Common Stock | 30,000 | 30,000 | D |
| Stock Option (right to buy)F4 | $2.67 | holding | — | — | — | Aug 12, 2011 | Jul 12, 2021 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (right to buy)F4 | $1.90 | holding | — | — | — | Jan 14, 2012 | Dec 14, 2021 | Common Stock | 50,000 | 50,000 | D |
| Stock Option (right to buy)F5,F4 | $3.35 | holding | — | — | — | Aug 10, 2012 | Jul 10, 2022 | Common Stock | 355,063 | 355,063 | D |
| Stock Option (right to buy)F4 | $1.31 | holding | — | — | — | Jun 30, 2013 | May 31, 2023 | Common Stock | 293,110 | 293,110 | D |
Explanation of responses
- F1Options currently 100% vested.
- F2Options vest 33% on date noted and thereafter at 1/24th per month.
- F3Half of option vests as to approximately 1,500 shares per month starting 3/16/2011 and ending 12/16/2011. The remaining 15,000 shares will vest provided that certain performance criteria are met.
- F4Vests in increments of 1/48th per month, beginning the date shown.
- F5The 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.