SEC Form 4 · accession 0001209191-16-142170
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
Sep 16, 2016
Accepted (ET)
Sep 20, 2016 · 5:02 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 StockF1,F2 | Sep 16, 2016 | F | 1,394 | $4.00 | D | 6,121,115 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported transaction represents the mandatory withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the partial vesting and settlement of restricted stock units granted in July 2016.
- F2This number does not include 1,831,454 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 7,982,569 shares of common stock.