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Vivani Medical, Inc. — Director's Dealing 2017
Mar 16, 2017
34411_dirs_2017-03-16_f0e06776-e4ed-427e-b55b-4899cb711973.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SECOND SIGHT MEDICAL PRODUCTS INC (EYES)
CIK: 0001266806
Period of Report: 2017-03-14
Reporting Person: Cosendai Gregoire (VP of European Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-14 | Common Stock | A | 3366 | $1.47 | Acquired | 10395 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-03-14 | Warrant to Purchase Common Stock | $1.47 | A | 3366 | Acquired | 2022-03-14 | Common Stock (3366) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $1.97 | 2027-01-03 | Common Stock (228190) | 228190 | Direct |
| Non-Qualified Stock Option (right to buy) | $4.1 | 2026-01-21 | Common Stock (11513) | 11513 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2018-11-01 | Common Stock (20000) | 20000 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2019-02-01 | Common Stock (5081) | 5081 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2019-05-01 | Common Stock (10000) | 10000 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2020-02-01 | Common Stock (14475) | 14475 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2020-06-01 | Common Stock (2125) | 2125 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2020-12-01 | Common Stock (25000) | 25000 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2021-03-01 | Common Stock (6650) | 6650 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2022-03-01 | Common Stock (7750) | 7750 | Direct |
| Non-Qualified Stock Option (right to buy) | $5 | 2024-04-01 | Common Stock (10937) | 10937 | Direct |
| Non-Qualified Stock Option (right to buy) | $9 | 2024-09-26 | Common Stock (51009) | 51009 | Direct |
| Non-Qualified Stock Option (right to buy) | $13.09 | 2025-03-25 | Common Stock (6250) | 6250 | Direct |
Footnotes
F1: Common stock and warrants reported on this Form 4 pursuant to an exercise of subscription rights previously distributed by the Company to all holders of the Company's common stock. Each stockholder received a right to invest $0.47 for every share held of record on February 10, 2017, the record date, to purchase units consisting of one share of common stock and one warrant to purchase one share of common stock. The final allocation numbers of units were distributed on March 14, 2017.
F2: Options vest over a four year term of which one-fourth vest on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter.
F3: Options vest in 5 yearly increments starting with the Date Exercisable
F4: Options vest in 4 yearly increments starting with the Date Exercisable