SEC Form 4 · accession 0001493152-18-005700
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
Apr 20, 2018
Accepted (ET)
Apr 24, 2018 · 2:40 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 | Apr 20, 2018 | J | 401,786 | $0.28 | A | 9,772,543 | D | |
| Common Stock | Apr 20, 2018 | J | 54,055 | $0.37 | A | 9,826,598 | D | |
| Common Stock | Apr 20, 2018 | J | 234,375 | $0.48 | A | 10,060,973 | D | |
| Common Stock | Apr 20, 2018 | X | 132,435 | $0.43 | A | 10,193,408 | D | |
| Common Stock | Apr 20, 2018 | X | 130,681 | $0.43 | A | 10,324,089 | D | |
| Common Stock | Apr 20, 2018 | X | 716,167 | $0.43 | A | 11,040,256 | D | |
| Series D Preferred Stock | 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 | $0.27 | Apr 20, 2018 | X | 438,053 | D | Aug 5, 2017 | Aug 4, 2022 | Common Stock | 438,053 | 0 | D |
| Warrant | $0.27 | Apr 20, 2018 | X | 351,204 | D | Feb 23, 2017 | Feb 22, 2020 | Common Stock | 351,204 | 0 | D |
| Warrant | $0.30 | Apr 20, 2018 | X | 1,924,697 | D | Jan 11, 2017 | Jan 10, 2020 | Common Stock | 1,924,697 | 0 | D |
| Stock OptionF5 | $0.27 | holding | — | — | — | — | — | Common Stock | 660,000 | 660,000 | D |
Explanation of responses
- F1Shares issued on account of accrued consultancy fees as of September 30, 2017, December 31, 2017 and March 31, 2018, respectively.
- F2Cashless exercise of 438,053 Warrants to purchase common stock at $0.30 per share.
- F3Cashless exercise of 351,204 Warrants to purchase common stock at $0.27 per share.
- F4Cashless exercise of 1,924,697 Warrants to purchase common stock at $0.27 per share.
- F5Issued pursuant to Fountainhead Consultancy Agreement