SEC Form 4 · accession 0001437749-16-038046

VIVEVE MEDICAL, INC. · VIVE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

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 Stock^F1	Aug 22, 2016	A	800	$0.00	A	800	D
Common Stock^F2,F3	holding	—	—		—	2,599,711	I	See

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

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 800 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 Stonepine Capital, L.P.
F3Stonepine Capital Management, LLC is the general partner of Stonepine Capital, L.P. Jon M. Plexico and Timothy P. Lynch are the Managing Members of Stonepine Capital Management, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by Stonepine Capital, L.P. Each of Stonepine Capital Management, LLC, Mr. Plexico and Mr. Lynch 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.