SEC Form 4 · accession 0001437749-18-000290
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon M Plexico
Director · 10% Owner
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 9:53 pm EST
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 | Jan 2, 2018 | A | 2,349 | $0.00 | A | 10,363 | D | |
| Common StockF2,F3 | 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 2,349 shares of common stock on January 2, 2018 (the "Grant Date"). The restricted stock award shall vest in 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.