SEC Form 4 · accession 0001493152-17-008081
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
Jun 30, 2017
Accepted (ET)
Jul 21, 2017 · 3:41 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 $0.0001F1 | Apr 30, 2017 | A | 1,571,429 | $0.21 | A | 8,619,328 | D | |
| Common Stock par value $0.0001F1 | Jun 30, 2017 | A | 501,429 | $0.21 | A | 9,120,757 | 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 | $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 | $0.27 | holding | — | — | — | Jan 11, 2017 | Jan 10, 2020 | Common Stock | 1,924,697 | 1,924,697 | D |
| Warrant | $0.27 | holding | — | — | — | Feb 23, 2017 | Feb 22, 2020 | Common Stock | 351,204 | 351,204 | D |
| OptionF2 | $0.27 | holding | — | — | — | — | — | Common Stock | 660,000 | 660,000 | D |
Explanation of responses
- F1Issuance Pursuant to Fountainhead Consultancy Agreement.
- F2Exercisable upon achievement of certain milestones prior to March 31, 2018 for a period of three years from date of vesting.