SEC Form 4 · accession 0001437749-16-038047
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brigitte Smith
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 | 25,312 | D | |
| Common StockF2,F3 | holding | — | — | — | 449,852 | 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 GBS Venture Partners Pty Ltd., as trustee for GBS BioVentures III.
- F3GBS Venture Partners Pty Ltd. is trustee for GBS BioVentures III. Brigitte Smith is the Managing Partner of GBS Venture Partners Pty Ltd. and may be deemed to have voting and investment power over the shares beneficially owned by GBS BioVentures III. Voting and investment power over the shares owned of record by GBS Venture Partners Pty Ltd., as trustee for GBS BioVentures III, may be deemed to be held by Ms. Smith. Each of GBS Venture Partners Pty Ltd. and Ms. Smith disclaims beneficial ownership of such shares except to the extent of its or her 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.