SEC Form 4 · accession 0001593968-15-000401
Avinger Inc · AVGR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Donald A Lucas
Director · 10% Owner
Period of report
Dec 9, 2015
Accepted (ET)
Dec 11, 2015 · 5:38 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 | Dec 9, 2015 | J | 562,038 | $0.00 | D | 0 | I | Lucas Venture Group IX, LLC |
| Common stock | Dec 9, 2015 | J | 15,809 | $15.99 | A | 15,809 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 500 | $15.857 | D | 15,309 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 500 | $15.8715 | D | 14,809 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 500 | $16.0682 | D | 14,309 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 500 | $15.7951 | D | 13,809 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 1,000 | $15.9279 | D | 12,809 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 300 | $15.93 | D | 12,509 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 200 | $15.95 | D | 12,309 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 100 | $16.00 | D | 12,209 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 65 | $15.89 | D | 12,144 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 35 | $15.90 | D | 12,109 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 200 | $15.99 | D | 11,909 | I | Lucas Venture Management, LLC |
| Common stock | Dec 11, 2015 | S | 100 | $16.00 | D | 11,809 | I | Lucas Venture Management, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11. The reporting person is the managing member of Lucas Venture Group IX, LLC, which made a pro rata distribution for no consideration of Common Stock of the Issuer to its members on December 9, 2015.