SEC Form 4 · accession 0001209191-16-103380
ReShape Lifesciences Inc. · RSLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory S Lea
Officer — CFO and CCO
Period of report
Feb 25, 2016
Accepted (ET)
Feb 29, 2016 · 4:28 pm EST
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 | — | — | — | 184 | 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) | $1.07 | Feb 25, 2016 | A | 50,000 | A | Feb 25, 2016 | Feb 25, 2026 | Common Stock | 50,000 | 50,000 | D |
| Stock Option (right to buy)F1,F2 | $28.50 | holding | — | — | — | — | Oct 29, 2017 | Common Stock | 1,114 | 1,114 | D |
| Stock Option (right to buy)F1,F2 | $28.50 | holding | — | — | — | — | Oct 29, 2017 | Common Stock | 260 | 260 | D |
| Stock Option (right to buy)F1,F2 | $28.50 | holding | — | — | — | — | Oct 29, 2017 | Common Stock | 1,074 | 1,074 | D |
| Stock Option (right to buy)F1,F2 | $28.50 | holding | — | — | — | — | Oct 29, 2017 | Common Stock | 973 | 973 | D |
| Stock Option (right to buy)F1,F2 | $56.70 | holding | — | — | — | — | Nov 18, 2019 | Common Stock | 1,111 | 1,111 | D |
| Warrant (common stock right to buy)F1,F3,F4 | $32.85 | holding | — | — | — | — | — | Common Stock | 666 | 666 | D |
| Stock Option (right to buy)F1,F2 | $38.70 | holding | — | — | — | — | Feb 16, 2021 | Common Stock | 13,333 | 13,333 | D |
| Stock Option (right to buy)F1,F2 | $40.05 | holding | — | — | — | — | Jul 12, 2021 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F1,F2 | $28.50 | holding | — | — | — | — | Dec 14, 2021 | Common Stock | 8,333 | 8,333 | D |
| Stock Option (right to buy)F1,F5 | $50.25 | holding | — | — | — | Aug 10, 2012 | Jul 10, 2022 | Common Stock | 57,543 | 57,543 | D |
| Stock Option (right to buy)F1,F5 | $19.65 | holding | — | — | — | Jun 30, 2013 | May 31, 2023 | Common Stock | 66,885 | 66,885 | D |
| Stock Option (right to buy)F1,F5 | $16.65 | holding | — | — | — | Apr 9, 2015 | Mar 9, 2025 | Common Stock | 11,666 | 11,666 | D |
Explanation of responses
- F1On January 6, 2016, EnteroMedics Inc. effected a 1-for-15 reverse stock split of its issued and outstanding shares of common stock, par value $0.01 per share, resulting in a proportional decrease in the total shares of common stock beneficially owned by the reporting person. all previously reported exercise prices, option grants and similar instruments convertible into common stock were proportionally adjusted to reflect the reverse split.
- F2Options currently 100% vested.
- F3Warrant becomes exercisable 181 days from the date of issuance at close of offering.
- F4Warrant expires five years from date it first becomes exercisable.
- F5Vests in increments of 1/48th per month, beginning the date shown.
Remarks
THIS FILING REFLECTS THE POST SPLIT NUMBERS OF ALL SHARES, OPTIONS AND SIMILAR INSTRUMENTS HELD BY THE REPORTING PERSON AS PREVIOUSLY REPORTED.