SEC Form 4 · accession 0001209191-15-025250
ReShape Lifesciences Inc. · RSLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark B Knudson
Officer — Chrmn, Pres & CEO · Director
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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 1,382 | I | Spouse Revocable Trust | |
| Common Stock | holding | — | — | — | 3,215 | I | Family Limited Partnership | |
| Common Stock | holding | — | — | — | 57,571 | I | Revocable Trust 2003 |
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)F5 | $1.11 | Mar 9, 2015 | A | 225,000 | A | Apr 9, 2015 | Mar 9, 2025 | Common Stock | 225,000 | 225,000 | D |
| Stock Option (right to buy)F1 | $2.76 | holding | — | — | — | — | Apr 27, 2015 | Common Stock | 7,915 | 7,915 | D |
| Stock Option (right to buy)F1 | $2.76 | holding | — | — | — | — | Apr 20, 2016 | Common Stock | 6,776 | 6,776 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 33,432 | 33,432 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 25,902 | 25,902 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common stock | 44,131 | 44,131 | D |
| Stock Option (right to buy)F2 | $1.90 | holding | — | — | — | Oct 29, 2010 | Oct 29, 2017 | Common Stock | 50,472 | 50,472 | D |
| Stock Option (right to buy)F1 | $3.78 | holding | — | — | — | — | Nov 18, 2019 | Common Stock | 20,833 | 20,833 | D |
| Warrant (common stock right to buy)F3,F4 | $2.19 | holding | — | — | — | — | — | Common Stock | 25,000 | 25,000 | D |
| Stock Option (right to buy)F5 | $2.58 | holding | — | — | — | Mar 16, 2011 | Feb 16, 2021 | Common Stock | 350,000 | 350,000 | D |
| Stock Option (right to buy)F5 | $2.67 | holding | — | — | — | Aug 12, 2011 | Jul 12, 2021 | Common Stock | 350,000 | 350,000 | D |
| Stock Option (right to buy)F5 | $1.90 | holding | — | — | — | Jan 14, 2012 | Dec 14, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock Option (right to buy)F6,F5 | $3.35 | holding | — | — | — | Aug 10, 2012 | Jul 10, 2022 | Common Stock | 1,292,225 | 1,292,225 | D |
| Stock Option (right to buy)F5 | $1.31 | holding | — | — | — | Jun 30, 2013 | May 31, 2013 | Common Stock | 1,278,730 | 1,278,730 | D |
Explanation of responses
- F1Options currently 100% vested.
- F2Options vest 33% on date noted and thereafter at 124th per month.
- F3Warrant becomes exercisable 181 days from the date of issuance at close of offering.
- F4Warrant expires five years from the date it becomes exercisable.
- F5Vests in increments of 1/48th per month, beginning the date shown.
- F6The 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.