SEC Form 4 · accession 0001140361-16-079957
ViewRay, Inc. · VRAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aditya Puri
Director
Period of report
Sep 9, 2016
Accepted (ET)
Sep 15, 2016 · 8:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001597313
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 9, 2016 | P | 1,472,803 | $2.95 | A | 4,876,745 | I | See footnote |
| Common StockF2 | Sep 13, 2016 | A | 18,964 | $0.00 | A | 18,964 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1,F3 | $2.95 | Sep 9, 2016 | P | 441,840 | A | — | Sep 9, 2023 | Common Stock | 441,840 | 441,840 | I |
Explanation of responses
- F1Shares held by Harbour Tycoon Limited. The Reporting Person is an Investments Director at Xeraya Capital, an affiliate of Harbour Tycoon Limited.
- F2Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon vesting. 100% of the RSUs shall be fully vested as of the date of grant, however, delivery of the shares will be deferred until the earlier of (i) the Reporting Person's termination of service from the Issuer's board of directors or (ii) a Change of Control of the Issuer as defined in the Issuer's 2015 Equity Incentive Award Plan.
- F3This warrant is immediately exercisable.