SEC Form 4 · accession 0001437749-19-000069
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Janney
Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 2, 2019 · 3:48 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 | Dec 31, 2018 | A | 21,131 | $0.00 | A | 60,579 | D | |
| Common StockF2,F3 | holding | — | — | — | 1,381,955 | 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 21,131 shares of common stock on December 31, 2018 (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.