SEC Form 4 · accession 0001437749-19-002143
VIVEVE MEDICAL, INC. · VIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G. Atkinson
Officer — CBO & President
Period of report
Jan 29, 2019
Accepted (ET)
Feb 8, 2019 · 3:52 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 29, 2019 | A | 42,420 | $0.00 | A | 53,945 | D | |
| Common StockF2 | holding | — | — | — | 621,237 | I | By IRA | |
| Common StockF3 | holding | — | — | — | 285,599 | I | By Trust | |
| Common StockF4 | holding | — | — | — | 3,825 | I | By Custodian for Child |
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 42,420 shares of common stock on January 29, 2019 (the "Grant Date"). The restricted stock award shall vest in full upon the FDA approval of the Viveve System for improvement of sexual function or stress urinary incontinence (SUI) in the United States.
- F2Shares directly beneficially owned by an individual retirement account created for the benefit of the reporting person (the "IRA"). The reporting person is the beneficiary of the IRA.
- F3Shares directly beneficially owned by Atkinson Family Revocable Trust Dated 08/26/2013 (the "Trust"). The reporting person a trustee and a co-beneficiary of the Trust.
- F4Shares purchased pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as custodian for a minor child.