SEC Form 4 · accession 0001437749-17-015820

VIVEVE MEDICAL, INC. · VIVE

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

Reporting owner

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 Stock^F1	Sep 6, 2017	A	3,025	$0.00	A	8,466	D
Common Stock^F2,F3	holding	—	—		—	1,381,955	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	$5.58	Sep 6, 2017	A	17,500	A	—	Sep 5, 2027	Common Stock	17,500	17,500	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 3,025 shares of common stock on September 6, 2017 (the "Grant Date"). The restricted stock award shall vest in 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 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.