SEC Form 4 · accession 0001209191-16-100149
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 16, 2016
Accepted (ET)
Feb 18, 2016 · 7:01 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 16, 2016 | F | 24,690 | $2.04 | D | 5,919,638 | 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 | $2.04 | Feb 16, 2016 | A | 24,690 | A | Feb 16, 2016 | Feb 16, 2026 | Common Stock | 24,690 | 24,690 | D |
Explanation of responses
- F1The shares were withheld at the election of the Reporting Person to satisfy tax withholding obligations in connection with the partial vesting of restricted stock units granted in August 2012 in accordance with the terms of the Reporting Person's Equity Incentive Award Agreement dated August 2012.
- F2This number does not include 1,416,454 shares of common stock underlying outstanding 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 7,366,092 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.