SEC Form 4 · accession 0001209191-16-129918

ReShape Lifesciences Inc. · RSLS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

Explanation of responses

• F1Options currently 100% vested.
• F2On June 27, 2016, this option was tendered by the reporting person pursuant to EnteroMedics' option exchange offer and was cancelled by the company at the expiration of the offer (see footnote 4).
• F3Options vest 33% on date noted and thereafter at 1/24th per month.
• F4On June 27, 2016, in exchange for the cancelled option referenced in footnote 2, the company granted the reporting person a replacement option for the number of shares reflected in column 9 of this line item at the exercise price noted in column 2 of this line item.
• F5Warrant becomes exercisable 181 days from the date of issuance at close of offering.
• F6Warrant expires five years from date it first becomes exercisable.
• F7On 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.
• F8Vests in increments of 1/48th per month, beginning the date shown.