SEC Form 4 · accession 0001209191-16-155477
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
Dec 14, 2016
Accepted (ET)
Dec 15, 2016 · 5:35 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 StockF2,F3 | Dec 14, 2016 | S | 50,000 | $3.7191 | D | 6,063,915 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale of shares was effectuated 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 $3.65 to $3.80. 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 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 7,925,369 shares of common stock.