Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| VIVEVE MEDICAL, INC.VIVE · Entity 11899 | 10% owner | October 01, 2018 | October 04, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
VIVEVE MEDICAL, INC.
Report date October 01, 2018 · Filed October 04, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,548 |
Reported balance
After 2018-10-01 transaction · row 1
1 source rowRow 1 · 2018-10-01 · Grant · Acquired 4,007 · Balance 22,548 F1: The 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 4,007 shares of common stock on October 1, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. |
| Common StockSEC Table I · non-derivative | IndirectSee | 3,849,711 |
Reported balance
Holding disclosure · report date 2018-10-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,849,711 F2: Directly beneficially owned by Stonepine Capital, L.P. F3: Stonepine 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The 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 4,007 shares of common stock on October 1, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date.
F2: Directly beneficially owned by Stonepine Capital, L.P.
F3: Stonepine 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 01, 2018 Filed Oct 4, 2018 13:17 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 4,007 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-017958 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,548 F1 · shares: The 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 4,007 shares of common stock on October 1, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| July 02, 2018 Filed Jul 3, 2018 18:20 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 4,635 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-012953 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,541 F1 · shares: The 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 4,635 shares of common stock on July 2, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| May 22, 2018 Filed May 23, 2018 16:20 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantNon-qualified Stock Option (Right to Purchase) · Derivative | 17,500 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001437749-18-010595 · rdgdoc.xml · derivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2028-05-21 F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received 17,500 non-qualified stock options on May 22, 2018 (the "Grant Date"). The non-qualified stock options shall vest in full on the first anniversary of the Grant Date. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 17:42 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 3,543 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-006346 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,906 F1 · shares: The 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 3,543 shares of common stock on April 2, 2018 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:53 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 2,349 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-000290 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,363 F1 · shares: The 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. Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 20:34 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 2,196 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-016823 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,014 F1 · shares: The 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 2,196 shares of common stock on October 2, 2017 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:36 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantNon-qualified Stock Option (Right to Purchase) · Derivative | 17,500 | $0.00 Strike: $5.58 | $0.00 |
DisclosureSEC source: 0001437749-17-015819 · rdgdoc.xml · derivative · entry 3 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Common Stock · 17,500 shares Expires 2027-09-05 F4 · derivative.exercise_date: The reporting person is a participant in the Issuer's Plan and received 17,500 non-qualified stock options on September 6, 2017 (the "Grant Date"). The non-qualified stock options shall vest in full on the first anniversary of the Grant Date. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:36 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 2,185 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-015819 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,818 F1 · shares: The 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 2,185 shares of common stock on September 6, 2017 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. Read SEC document |
| May 17, 2017 Filed May 19, 2017 20:20 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 1,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-009702 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,501 F1 · shares: The 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 1,592 shares of common stock on May 17, 2017 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date. Read SEC document |
| May 17, 2017 Filed May 19, 2017 20:20 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 1,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-009701 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,501 F1 · shares: The 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 1,592 shares of common stock on May 17, 2017 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date. Read SEC document |
| May 17, 2017 Filed May 22, 2017 17:28 UTC Amendment | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 1,724 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-009827 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,633 F1 · shares: The 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 1,724 shares of common stock on May 17, 2017 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date. F2 · shares: This amendment is being filed to correct the number of shares of common stock subject to the restricted stock award issued to the reporting person which was inadvertently reported as 1,592. The correct amount is 1,724. Footnote 1 has also been corrected to reflect the same. F3 · balance_after: Reflects the correct amount of securities beneficially owned by the reporting person following this transaction. Read SEC document |
| March 17, 2017 Filed Mar 21, 2017 17:22 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | PurchaseCommon Stock | 1,250,000 | $4.00 | $5,000,000.00 |
DisclosureSEC source: 0001140361-17-012865 · doc1.xml · nonDerivative · entry 1 Stonepine Capital Management, LLC · CIK 0001440771 · Director · 10% owner STONEPINE CAPITAL, L.P. · CIK 0001370042 · Director · 10% owner Plexico Jon M · CIK 0001462580 · Director · 10% owner LYNCH TIMOTHY P · CIK 0001270925 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 3,849,711 F1 · ownership.nature: The filers (the "Filers") are Stonepine Capital Management, LLC (the "General Partner"), Stonepine Capital, L.P., Jon M. Plexico and Timothy P. Lynch. These securities are directly held by Stonepine Capital, L.P. (2,599,711 shares) and other limited partnerships (collectively, the "Funds") for the benefit of their investors. The General Partner is the general partner and investment adviser of the Funds. Mr. Plexico and Mr. Lynch are the General Partner's managers and may be deemed to have shared voting and investment power over the shares held by the Funds. F2 · ownership.nature: Each of the Filers disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934, as amended. Each of the General Partner, Mr. Plexico and Mr. Lynch disclaims beneficial ownership of these securities except to the extent of that person's beneficial ownership therein. Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 21:00 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantNon-qualified Stock Option (Right to Purchase) · Derivative | 25,160 | $0.00 Strike: $5.22 | $0.00 |
DisclosureSEC source: 0001437749-16-043879 · rdgdoc.xml · derivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,160 Underlying: Common Stock · 25,160 shares Expires 2026-12-22 F1 · derivative.exercise_date: The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan and received 25,160 non-qualified stock options on December 23, 2016 (the "Grant Date"). The non-qualified stock options will vest in equal monthly increments over 48 months following the Grant Date. Read SEC document |
| November 09, 2016 Filed Nov 14, 2016 16:02 UTC | VIVEVE MEDICAL, INC. VIVE · Entity 11899 | GrantCommon Stock | 1,109 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-16-042055 · rdgdoc.xml · nonDerivative · entry 1 Plexico Jon M · CIK 0001462580 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,909 F1 · shares: The 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 1,109 shares of common stock on November 9, 2016 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.