SEC Form 4 · accession 0001437749-16-027755
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G. Atkinson
Officer — CBO & President
Period of report
Jan 4, 2016
Accepted (ET)
Mar 15, 2016 · 8:46 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 | Jan 4, 2016 | A | 146,992 | $0.00 | A | 146,992 | D | |
| Common Stock | Jan 4, 2016 | F | 54,798 | $0.78 | D | 92,194 | D | |
| Common StockF3 | holding | — | — | — | 3,485,264 | I | By IRA, Trust and Custodian for Child |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is a participant in the Issuer's 2013 Stock Option and Incentive Plan, as amended, and received a restricted stock award of 146,992 shares of common stock on January 4, 2016 (the "Award Date"). The shares vest on the one-year anniversary of the Award Date. See footnote 2 below. Following the payment of the tax withholding obligations, the reporting person received 92,194 shares of restricted common stock.
- F2Settlement of tax withholding obligations, exempt from Section 16(b) under Rule 16b-3(e).
- F3Includes 2,669,884 shares of common stock purchased by an individual retirement account created for the benefit of the reporting person (the "IRA"), 784,780 shares of common stock purchased by the Atkinson Family Revocable Trust Dated 08/26/2013 (the "Trust") and 30,600 shares of common stock purchased pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as custodian for a minor child. The reporting person is the beneficiary of the IRA and a trustee and a co-beneficiary of the Trust.