SEC Form 4 · accession 0001209191-17-005511
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
Jan 23, 2017
Accepted (ET)
Jan 25, 2017 · 4:27 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 | Jan 23, 2017 | S | 4,900 | $3.5133 | D | 6,059,015 | D | |
| Common StockF3,F4 | Jan 24, 2017 | S | 20,100 | $3.5045 | D | 6,038,915 | 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 $3.50 to $3.54. 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 transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $3.50 to $3.515. 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.
- F4This 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 7,900,369 shares of common stock.