SEC Form 4 · accession 0001209191-15-040640
ReShape Lifesciences Inc. · RSLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Teti
Director
Period of report
May 6, 2015
Accepted (ET)
May 8, 2015 · 5:08 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 | — | — | — | 10,840 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Option (right to buy)F1 | $1.12 | May 6, 2015 | A | 25,000 | A | May 6, 2015 | May 6, 2025 | Common Stock | 25,000 | 25,000 | D |
| Director Option (right to buy)F5 | $1.12 | May 6, 2015 | A | 25,000 | A | Jun 6, 2015 | May 6, 2025 | Common Stock | 25,000 | 25,000 | D |
| Director Option (right to buy)F1 | $44.77 | holding | — | — | — | Apr 27, 2007 | Apr 27, 2017 | Common Stock | 4,578 | 4,578 | D |
| Director Option (right to buy)F1 | $26.41 | holding | — | — | — | May 6, 2008 | May 6, 2018 | Common Stock | 1,666 | 1,666 | D |
| Director Option (right to buy)F1 | $11.58 | holding | — | — | — | May 5, 2009 | May 5, 2019 | Common Stock | 1,666 | 1,666 | D |
| Director Option (right to buy)F2 | $13.80 | holding | — | — | — | May 28, 2009 | May 28, 2019 | Common Stock | 25,000 | 25,000 | D |
| Director Option (right to buy)F3 | $3.24 | holding | — | — | — | Feb 10, 2010 | Feb 10, 2020 | Common Stock | 12,500 | 12,500 | D |
| Director Option (right to buy)F1 | $2.52 | holding | — | — | — | May 6, 2010 | May 6, 2020 | Common Stock | 1,666 | 1,666 | D |
| Up Front Warrant (right to buy)F4 | $2.15 | holding | — | — | — | — | Mar 29, 2016 | Common Stock | 10,840 | 10,840 | D |
| Director Option (right to buy)F1 | $2.63 | holding | — | — | — | May 5, 2011 | May 5, 2021 | Common Stock | 10,000 | 10,000 | D |
| Director Option (right to buy)F1 | $2.77 | holding | — | — | — | May 9, 2012 | May 9, 2022 | Common Stock | 10,000 | 10,000 | D |
| Director Option (right to buy)F1 | $0.88 | holding | — | — | — | May 8, 2013 | May 8, 2023 | Common Stock | 10,000 | 10,000 | D |
| Director Option (right to buy)F1 | $1.84 | holding | — | — | — | May 7, 2014 | May 7, 2024 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Vests immediately as to 25% on date noted and thereafter in cumulative installments of 1/36th per month.
- F2Vests in cumulative installments of 1/36th per month beginning the date shown.
- F34,167 shares vest immediately and the remaining 8,333 shares vest in cumulative installments of 1/36th per month beginning 3/10/2010.
- F4Exercisable six months from the date of issuance on 9/29/2010.
- F5Vests in cumulative installments of 1/12th per month beginning the date shown.