SEC Form 4 · accession 0001209191-15-072035
VivoSim Labs, INC. · VIVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Baltera Jr.
Director
Period of report
Sep 21, 2015
Accepted (ET)
Sep 23, 2015 · 7:22 pm EDT
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 StockF2,F3 | Sep 21, 2015 | S | 6,000 | $4.0322 | D | 138,506 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F2This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $4.005 to $4.06. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3This number does not include 148,000 shares of common stock underlying outstanding options held by Mr. Baltera; post-transaction Mr. Baltera continues to beneficially own or have a right to acquire 286,506 shares of common stock.