SEC Form 4 · accession 0001104659-15-006717
Avinger Inc · AVGR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J M D Fogarty
Director
Period of report
Feb 4, 2015
Accepted (ET)
Feb 4, 2015 · 5:16 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 StockF1,F2 | Feb 4, 2015 | C | 277,777 | — | A | 277,777 | I | Emergent Medical Partners II, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series E Convertible Preferred StockF2,F1 | — | Feb 4, 2015 | C | 277,777 | D | — | — | Common Stock | 277,777 | 0 | I |
Explanation of responses
- F1The Series E Convertible Preferred Stock converted into Common Stock on a 1 for 1 basis and had no expiration date.
- F2Dr. Fogarty shares voting power with respect to shares held by Emergent Medical Partners II, L.P. with Jon Kirtland and Robert Brownell. Dr. Fogarty disclaims beneficial ownership in Emergent Medical Partners II, L.P. except to the extent of his pecuniary interest therein.