SEC Form 4 · accession 0001104659-15-006713

Avinger Inc · AVGR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

Director · 10% Owner

10% Owner

Period of report

Feb 4, 2015

Accepted (ET)

Feb 4, 2015 · 5:15 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001506928

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2,F4	Feb 4, 2015	C	23,229	—	A	23,229	I	Lucas Venture Group III, LLC
Common Stock^F1,F2,F3,F4	Feb 4, 2015	C	561,115	—	A	561,115	I	Lucas Venture Group IX, LLC
Common Stock^F4	Feb 4, 2015	X	25,264	$12.60	A	586,379	I	Lucas Venture Group IX, LLC
Common Stock^F4	Feb 4, 2015	S	24,487	$13.00	D	561,892	I	Lucas Venture Group IX, LLC
Common Stock^F4	Feb 4, 2015	X	4,761	$12.60	A	566,653	I	Lucas Venture Group IX, LLC
Common Stock^F4	Feb 4, 2015	S	4,615	$13.00	D	562,038	I	Lucas Venture Group IX, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series C Convertible Preferred Stock^F4,F1	—	Feb 4, 2015	C	49,937	D	—	—	Common Stock	76,490	I
Series D Convertible Preferred Stock^F4,F2	—	Feb 4, 2015	C	69,662	D	—	—	Common Stock	112,635	I
Series D Convertible Preferred Stock^F4,F2	—	Feb 4, 2015	C	14,367	D	—	—	Common Stock	23,229	I
Series E Convertible Preferred Stock^F4,F3	—	Feb 4, 2015	C	371,990	D	—	—	Common Stock	371,990	I
Warrant (Right to Buy)^F4	$12.60	Feb 4, 2015	X	25,264	D	Nov 8, 2013	Nov 8, 2018	Common Stock	25,264	I
Warrant (Right to Buy)^F4	$12.60	Feb 4, 2015	X	4,761	D	Jul 15, 2014	Jul 15, 2019	Common Stock	4,761	I

F1The Series C Convertible Preferred Stock converted into Common Stock on a 1.5317380420 for 1 basis and had no expiration date.
F2The Series D Convertible Preferred Stock converted into Common Stock on a 1.6168809050 for 1 basis and had no expiration date.
F3The Series E Convertible Preferred Stock converted into Common Stock on a 1 for 1 basis and had no expiration date.
F4Mr. Lucas disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest.
F5On February 4, 2015, the reporting person exercised a warrant to purchase 25,264 share of Avinger, Inc. Common Stock for $12.60 per share. The reporting person paid the exercise price on a cashless basis, resulting in Avinger, Inc.'s withholding of 24,487 of the warrant shares to pay the price and issuing to the reporting person the remaining 777 shares. Avinger, Inc. also paid $4.42 to the reporting person in lieu of a fractional share.
F6On February 4, 2015, the reporting person exercised a warrant to purchase 4,761 share of Avinger, Inc. Common Stock for $12.60 per share. The reporting person paid the exercise price on a cashless basis, resulting in Avinger, Inc.'s withholding of 4,615 of the warrant shares to pay the price and issuing to the reporting person the remaining 146 shares. Avinger, Inc. also paid $6.19 to the reporting person in lieu of a fractional share.