SEC Form 4 · accession 0001140361-17-012865
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Timothy P Lynch
Director · 10% Owner
STONEPINE CAPITAL, L.P.
Director · 10% Owner
Stonepine Capital Management, LLC
Director · 10% Owner
Jon M Plexico
Director · 10% Owner
Period of report
Mar 17, 2017
Accepted (ET)
Mar 21, 2017 · 5:22 pm EDT
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 | Mar 17, 2017 | P | 1,250,000 | $4.00 | A | 3,849,711 | I | See Notes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The filers (the "Filers") are Stonepine Capital Management, LLC (the "General Partner"), Stonepine Capital, L.P., Jon M. Plexico and Timothy P. Lynch. These securities are directly held by Stonepine Capital, L.P. (2,599,711 shares) and other limited partnerships (collectively, the "Funds") for the benefit of their investors. The General Partner is the general partner and investment adviser of the Funds. Mr. Plexico and Mr. Lynch are the General Partner's managers and may be deemed to have shared voting and investment power over the shares held by the Funds.
- F2Each of the Filers disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each of the General Partner, Mr. Plexico and Mr. Lynch disclaims beneficial ownership of these securities except to the extent of that person's beneficial ownership therein.