SEC Form 4 · accession 0001354488-16-008378
VYCOR MEDICAL INC · VYCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
FOUNTAINHEAD CAPITAL MANAGEMENT LTD
10% Owner
Period of report
Sep 30, 2016
Accepted (ET)
Oct 11, 2016 · 4:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001424768
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock par value $0.0001 | Sep 30, 2016 | A | 88,235 | $0.34 | A | 4,538,232 | D | |
| Preferred Series D par value $0.0001 | holding | — | — | — | 188,363 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $1.88 | holding | — | — | — | Feb 10, 2010 | Feb 10, 2015 | Common Stock | 343,411 | 343,411 | D |
| Warrant | $2.62 | holding | — | — | — | Sep 29, 2010 | Sep 29, 2015 | Common Stock | 337,517 | 337,517 | D |
| Warrant | $2.05 | holding | — | — | — | Feb 1, 2014 | Feb 1, 2017 | Common Stock | 397,140 | 397,140 | D |
| Warrant | $3.08 | holding | — | — | — | Feb 1, 2014 | Feb 1, 2017 | Common Stock | 397,140 | 397,140 | D |
| Warrant | $3.08 | holding | — | — | — | Aug 4, 2014 | Aug 4, 2017 | Common Stock | 572,613 | 572,613 | D |