SEC Form 4 · accession 0001140361-17-002418
ViewRay, Inc. · VRAY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Stephen Gold
Director
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 4:34 pm EST
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 | Jan 18, 2017 | P | 31,298 | $3.17 | A | 133,157 | D | |
| Common StockF3,F2 | Jan 18, 2017 | P | 46,948 | $3.17 | A | 91,785 | I | See footnotes |
| Common StockF3,F4 | holding | — | — | — | 54,129 | I | See footnotes |
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 Stock | $3.17 | Jan 18, 2017 | P | 6,259 | A | Jul 19, 2017 | Jan 18, 2024 | Common Stock | 6,259 | 6,259 | D |
| Warrant to Purchase Common StockF3,F2 | $3.17 | Jan 18, 2017 | P | 9,389 | A | Jul 19, 2017 | Jan 18, 2024 | Common Stock | 9,389 | 9,389 | I |
Explanation of responses
- F1Includes 14,971 Restricted Stock Units.
- F2Securities held by JMSK, Ltd.
- F3Janice Gold, the wife of Dr. Gold, is the President of MJSK, Ltd., and Steven Gold, the son of Dr. Gold, is the General Partner of JMSK, Ltd. Voting and dispositive decisions with respect to securities held by MJSK, Ltd. and JMSK, Ltd. are not made by Dr. Gold; he disclaims beneficial ownership of the securities held by MJSK, Ltd. and JMSK, Ltd. except to the extent of any pecuniary interest therein, if any.
- F4Securities held by MJSK, Ltd.