SEC Form 4 · accession 0001140361-15-042903
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
STONEPINE CAPITAL, L.P.
10% Owner
Period of report
Nov 24, 2015
Accepted (ET)
Nov 25, 2015 · 3:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000879682
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 24, 2015 | P | 2,857,142 | $0.70 | A | 18,397,682 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The filers (the "Filers") are Stonepine Capital, L.P. (the "Fund"), Stonepine Capital Management, LLC (the "General Partner"), Jon M. Plexico and Timothy P. Lynch. The General Partner is the general partner and investment adviser of the Fund. Mr. Plexico and Mr. Lynch are the General Partner's managers and control persons. These securities are held directly by the Fund for the benefit of its investors and are indirectly beneficially owned by the General Partner and Mr. Plexico and Mr. Lynch as the General Partner's control persons. The Fund is filing this Form 4 for itself and the other Filers.
- F2The Filers are filing this Form 4 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each Filer disclaims beneficial ownership of these securities except to the extent of that Filer's pecuniary interest therein.