SEC Form 4 · accession 0001181431-15-002744
VivoSim Labs, INC. · VIVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith Murphy
Officer — Chairman, CEO and President · Director
Period of report
Feb 13, 2015
Accepted (ET)
Feb 18, 2015 · 7:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001497253
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 13, 2015 | F | 28,008 | $6.34 | D | 5,961,328 | D |
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)F3 | $6.34 | Feb 13, 2015 | A | 28,008 | A | Feb 13, 2015 | Feb 13, 2025 | Common Stock | 28,008 | 28,008 | D |
Explanation of responses
- F1The shares were withheld at the election of the Reporting Person to satisy tax withholding obligations in connection with the partial vesting of restricted stock units granted August 2012.
- F2This number does not include 898,756 shares of common stock underlying oustanding options and 30,000 shares of common stock underlying warrants held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 6,890,084 shares of common stock.
- F3The option was automatically issued pursuant to the terms of the Reporting Person's Equity Incentive Award Agreement issued in August 2012.