SEC Form 4 · accession 0001493152-17-000652
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
Jan 11, 2017
Accepted (ET)
Jan 19, 2017 · 5:40 pm EST
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 | Jan 11, 2017 | A | 1,924,697 | $0.21 | A | 6,553,838 | D | |
| Preferred Series D par value $0.0001 | holding | — | — | — | 188 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $0.27 | Jan 11, 2017 | J | 1,924,697 | A | Jan 11, 2017 | Jan 10, 2020 | Common Stock | 1,924,697 | 1,924,697 | D |
| Warrant | $1.88 | holding | — | — | — | Feb 10, 2010 | Aug 4, 2017 | Common Stock | 343 | 343 | D |
| Warrant | $2.62 | holding | — | — | — | Sep 29, 2010 | Aug 4, 2017 | Common Stock | 338 | 338 | D |
| Warrant | $3.08 | holding | — | — | — | Aug 4, 2014 | Aug 4, 2017 | Common Stock | 573 | 573 | D |
| Warrant | $2.05 | holding | — | — | — | Apr 25, 2014 | Apr 24, 2017 | Common Stock | 878 | 878 | D |
| Warrant | $3.08 | holding | — | — | — | Apr 25, 2014 | Apr 24, 2017 | Common Stock | 878 | 878 | D |
Explanation of responses
- F1Acquired in connection with purchase of 1,924,697 shares of common stock in a private placement by the issuer.