SEC Form 4 · accession 0001593968-16-000767
Avinger Inc · AVGR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald A Lucas
Director
Period of report
May 8, 2016
Accepted (ET)
May 11, 2016 · 6:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001506928
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy) | $12.60 | May 8, 2016 | J | 87,460 | D | Sep 2, 2014 | Sep 2, 2019 | Common Stock | 87,460 | 0 | I |
| Warrant (Right to Buy) | $12.60 | May 8, 2016 | J | 999 | D | Dec 31, 2014 | Dec 31, 2019 | Common Stock | 999 | 0 | I |
| Warrant (Right to Buy) | $12.60 | May 8, 2016 | J | 171,933 | D | Nov 20, 2014 | Nov 20, 2019 | Common Stock | 171,933 | 0 | I |
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 it Warrants to purchase Common Stock of the Issuer to its members on May 8, 2016.