SEC Form 4/A · accession 0001437749-17-009827
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jon M Plexico
Director · 10% Owner
Period of report
May 17, 2017
Accepted (ET)
May 22, 2017 · 5:28 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 | May 17, 2017 | A | 1,724 | $0.00 | A | 3,633 | D | |
| Common StockF4,F5 | holding | — | — | — | 3,849,711 | I | See |
Table II — derivative securities
No Table II lines on this filing.
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 1,724 shares of common stock on May 17, 2017 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date.
- F2This amendment is being filed to correct the number of shares of common stock subject to the restricted stock award issued to the reporting person which was inadvertently reported as 1,592. The correct amount is 1,724. Footnote 1 has also been corrected to reflect the same.
- F3Reflects the correct amount of securities beneficially owned by the reporting person following this transaction.
- F4Directly beneficially owned by Stonepine Capital, L.P.
- F5Stonepine 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.