SEC Form 4 · accession 0001209191-15-055336
Invuity, Inc. · IVTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory T Lucier
Director
Period of report
Jun 18, 2015
Accepted (ET)
Jun 22, 2015 · 3:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001393020
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 18, 2015 | C | 18,245 | — | A | 18,245 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series F Preferred StockF2,F1 | — | Jun 18, 2015 | C | 17,427 | D | — | — | Common Stock | 18,245 | 0 | I |
Explanation of responses
- F117,427 outstanding shares of Series F Preferred Stock automatically converted into 18,245 shares of Common Stock, on a 1.046962183-for-one basis, immediately prior to the closing of the Issuer's initial public offering of Common Stock and had no expiration date.
- F2The shares are held by RiverRoad Capital Partners, LLC, of which the Reporting Person is a managing member.