SEC Form 4 · accession 0001562180-15-000158
TriVascular Technologies, Inc. · TRIV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert G Whirley
Officer — VP Research and Development
Period of report
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 8:16 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Resticted Stock Units (RSU)F1,F2 | — | Mar 2, 2015 | A | 9,400 | A | — | — | Common Stock | 9,400 | 9,400 | D |
| Stock Option (right to buy)F3 | $10.94 | Mar 2, 2015 | A | 17,700 | A | — | Mar 1, 2025 | Common Stock | 17,700 | 17,700 | D |
Explanation of responses
- F1Each RSU represents a contingent right to receive one share of TRIV common stock.
- F2Vests in four equal annual installments beginning February 15, 2016. Vested shares will be delivered to the reporting person upon vesting.
- F3Vests in four equal annual installments beginning March 2, 2016.