SEC Form 4 · accession 0001562180-16-001517

TriVascular Technologies, Inc. · TRIV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP Global Sales and Marketing

Period of report

Feb 3, 2016

Accepted (ET)

Feb 4, 2016 · 4:41 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001432732

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1,F2	Feb 3, 2016	M	12,400	—	A	18,670	D
Common Stock^F3	Feb 3, 2016	F	5,429	$5.62	D	13,241	D
Common Stock^F4	Feb 3, 2016	D	6,971	—	D	6,270	D
Common Stock	Feb 3, 2016	M	47,778	$2.43	A	54,048	D
Common Stock^F5	Feb 3, 2016	F	20,697	$5.62	D	33,351	D
Common Stock^F4	Feb 3, 2016	D	27,081	—	D	6,270	D
Common Stock^F4	Feb 3, 2016	D	6,270	—	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units (RSU)^F1,F6	—	Feb 3, 2016	M	12,400	D	—	—	Common Stock	12,400	0	D
Stock Options (Right to buy)^F7	$2.43	Feb 3, 2016	M	47,778	D	—	Aug 29, 2022	Common Stock	47,778	0	D

F1Each RSU represents a contingent right to receive one share of TRIV common stock.
F2This quantity includes 3,806 ESPP shares.
F3These shares were withheld by the issuer to satisfy tax withholding obligations and calculated for the purposes of the deemed settlement of the RSUs, contingent upon the closing of the Merger (as defined below), utilizing the closing price of the issuers common stock on January 28, 2016.
F4These shares were disposed of pursuant to the merger agreement between the issuer and Endologix, Inc. (such transaction, the Merger). In connection with the closing of the Merger, the reporting person received 0.6312 share of Endologix common stock and $0.34 in cash for each share of issuer common stock held by such reporting person, for a total consideration of $4.95 per share based upon the closing price of Endologix common stock on February 2, 2016.
F5These shares were withheld by the issuer as payment of the exercise price and to satisfy tax withholding obligations, and calculated for the purposes of the deemed exercise of the options, contingent upon the closing of the Merger, utilizing the closing price of the issuers common stock on January 28, 2016.
F6These restricted stock units became 100% vested in connection with the Merger.
F7These stock options became 100% vested in connection with the Merger.