Form 4 for VANI Vivani Medical, Inc.
Accepted 2022-08-31 00:00:00 ET · period of report 2022-08-30 · accession 0001753926-22-001200 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-08-31 | 2022-08-30 | VANI | Mendelsohn Aaron | Dir | J - Other | $0.00 | +898.3K | 150.9K | New | $0 |
| D | 2022-08-31 | 2022-08-30 | VANI | Mendelsohn Aaron | Dir | J - Other | $0.00 | +178.2K | 178.2K | New | $0 |
| DM | 2022-08-31 | 2022-08-30 | VANI | Mendelsohn Aaron | Dir | J - Other | $0.00 | +90.6K | 30.2K | New | $0 |
| DI | 2022-08-31 | 2022-08-30 | VANI | Mendelsohn Aaron | Dir | J - Other | $0.00 | +25.9K | 25.9K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-08-30 | J | A | 747,387 | $0.00 | 747,387 | I | — | — | |
| 2 | Common | Common Stock | 2022-08-30 | J | A | 178,170 | $0.00 | 178,170 | D Trusts | — | — | (F2) Represents five trusts, each one established for a separate grandchild of the Reporting Person, each trust owning an aggregate of 30,186 shares of common stock, all trusts with the same terms, over which the Reporting Person has voting and dispositive authority. |
| 3 | Common | Common Stock | 2022-08-30 | J | A | 150,930 | $0.00 | 150,930 | I See Footnote | — | — | (F3) Represents shares of common stock owned by MFE, LLC over which the Reporting Person has voting and dispositive authority. The Reporting Person disclaims pecuniary interest in 20% of the limited liability company and therefore 149,478 shares of common stock held by the limited liability company, which are beneficially owned by other members of the limited liability company. |
| 4 | Derivative | Common Stock Option | 2022-08-30 | J | A | 30,187 | $0.00 | 30,187 | D See Footnote | $3.15 · 2022-08-30 to 2028-11-13 | 30,187 Common Stock | (F6) Represents shares of common stock underlying a warrant owned by MFE, LLC over which the Reporting Person has voting and dispositive authority. The Reporting Person disclaims pecuniary interest in 20% of the limited liability company and therefore 5,185 shares of common stock held by the limited liability company, which are beneficially owned by other members of the limited liability company. |
| 5 | Derivative | Common Stock Option | 2022-08-30 | J | A | 30,187 | $0.00 | 30,187 | D | $3.15 · 2022-08-30 to 2029-11-11 | 30,187 Common Stock | |
| 6 | Derivative | Warrants | 2022-08-30 | J | A | 25,927 | $0.00 | 25,927 | I | $3.15 · 2022-08-30 to 2023-12-14 | 25,927 Common Stock | |
| 7 | Derivative | Common Stock Option | 2022-08-30 | J | A | 30,187 | $0.00 | 30,187 | D | $3.15 · 2022-08-30 to 2030-11-19 | 30,187 Common Stock |