SEC Form 4 · accession 0001437749-15-011406
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Samuel Colella
Director · 10% Owner
Period of report
May 14, 2015
Accepted (ET)
May 29, 2015 · 6:23 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,F3 | May 14, 2015 | P | 650,026 | $0.37 | A | 7,310,231 | I | See |
| Common StockF2,F3 | May 14, 2015 | P | 25,649 | $0.37 | A | 288,447 | I | See |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares directly beneficially owned by 5AM Ventures II, L.P.
- F2Shares directly beneficially owned by 5AM Co-Investors II, L.P.
- F35AM Partners II, LLC is the general partner of 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage, the managing members of 5AM Partners II, LLC, and Mark Colella, an assignee of 5AM Partners II, LLC, may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Each of 5AM Partners II, LLC, Dr. Diekman, Mr. Schwab, Dr. Rocklage and Mr. Colella disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.