SEC Form 4 · accession 0001437749-16-024288
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Janney
Director
Period of report
Jan 27, 2016
Accepted (ET)
Jan 29, 2016 · 10:45 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000879682
Table I — non-derivative securities
No Table I lines on this filing.
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 StockF2,F3 | $0.53 | Jan 27, 2016 | P | 202,000 | A | Oct 13, 2014 | Oct 13, 2019 | Common Stock | 202,000 | 202,000 | I |
Explanation of responses
- F1On January 27, 2016, Alta Bioequities, L.P. purchased from David Stefansky a warrant, dated October 13, 2014, for the purchase of 202,000 shares of Common Stock of the issuer for a purchase price of $0.35 per warrant share, or an aggregate purchase price of $70,700.
- F2Directly beneficially owned by Alta Bioequities, L.P.
- F3Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC. Mr. Janney disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.