SEC Form 4 · accession 0001437749-17-015818
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Debora Jorn
Director
Period of report
Sep 6, 2017
Accepted (ET)
Sep 8, 2017 · 8:36 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 | Sep 6, 2017 | A | 1,737 | $0.00 | A | 4,332 | D |
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)F2 | $5.58 | Sep 6, 2017 | A | 17,500 | A | — | Sep 5, 2027 | Common Stock | 17,500 | 17,500 | 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 1,737 shares of common stock on September 6, 2017 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date.
- F2The reporting person is a participant in the Issuer's Plan and received 17,500 non-qualified stock options on September 6, 2017 (the "Grant Date"). The non-qualified stock options shall vest in full on the first anniversary of the Grant Date.