SEC Form 4 · accession 0001437749-16-038044
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Janney
Director
Period of report
Aug 22, 2016
Accepted (ET)
Aug 24, 2016 · 8:56 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 | Aug 22, 2016 | A | 1,279 | $0.00 | A | 1,279 | D | |
| Common StockF2,F3 | holding | — | — | — | 881,955 | I | See |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Purchase)F4 | $7.89 | Aug 22, 2016 | A | 4,590 | A | — | Aug 22, 2026 | Common Stock | 4,590 | 4,590 | D |
Explanation of responses
- F1The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 1,279 shares of common stock on August 22, 2016 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date.
- F2Directly beneficially owned by Alta Bioequities, L.P.
- F3Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Each of Alta Bioequities Management, LLC and Mr. Janney disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
- F4The reporting person is a participant in the Plan and received 4,590 non-qualified stock options on the Grant Date. The non-qualified stock options will vest and become exercisable in 36 equal monthly installments beginning on the first day of the month following the Grant Date.