SEC Form 5/A · accession 0000906344-15-000005
TriVascular Technologies, Inc. · TRIV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
Michael R Kramer
Officer — Chief Financial Officer
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 4:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001432732
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $8.93 | Nov 29, 2013 | A | 32,043 | A | Nov 1, 2014 | Nov 29, 2023 | Common Stock | 32,043 | 32,043 | D |
Explanation of responses
- F125% of the shares underlying the option are exercisable beginning on the one year anniversary of the vesting start date and in equal monthly installments thereafter over a four-year period.
Remarks
This Form 5 is being filed to report a pre-IPO option grant that was inadvertently omitted from the reporting person's Form 4 filed on April 17, 2014, though this option grant was included in the reporting person's Form 3.