SEC Form 4 · accession 0001437749-16-034192
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
Jun 17, 2016
Accepted (ET)
Jun 21, 2016 · 5:51 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,F3 | Jun 17, 2016 | P | 100,000 | $5.00 | A | 433,737 | I | By IRA |
| Common StockF2,F4 | holding | — | — | — | 98,099 | I | By Trust | |
| Common StockF2,F5 | holding | — | — | — | 3,825 | I | By Custodian for Child | |
| Common StockF2 | holding | — | — | — | 11,525 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person purchased these shares in connection with the closing of a public offering of the Issuer's common stock (the "Offering") at the Offering price of $5.00 per share. The shares are subject to a lock-up provision for a period of 90 days following June 14, 2016, as required under a lock-up agreement with the underwriters of the Offering.
- F2On April 15, 2016, the Issuer effected a 1-for-8 reverse stock split of its common stock (the "Split"), which began trading on a post-Split basis on April 18, 2016. The amount reported in Column 5 represents securities beneficially owned on a post-Split basis.
- F3Shares directly beneficially owned by an individual retirement account created for the benefit of the reporting person (the "IRA"). The reporting person is the beneficiary of the IRA.
- F4Shares directly beneficially owned by Atkinson Family Revocable Trust Dated 08/26/2013 (the "Trust"). The reporting person a trustee and a co-beneficiary of the Trust.
- F5Shares purchased pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as custodian for a minor child.