Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Vivani Medical, Inc.EYES · Entity 6636 | Chief Financial Officer | January 19, 2018 | January 23, 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.
Vivani Medical, Inc.
Report date January 19, 2018 · Filed January 23, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.83 · Expires 2028-01-19 | Direct | 150,000 |
Reported balance
After 2018-01-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-01-19 · Grant · Acquired 150,000 · Balance 150,000 F4: Not Applicable F1: Options 100% vest on the date exercisable (one year). |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2027-01-03 | Direct | 181,980 |
Reported balance
Holding disclosure · report date 2018-01-19 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 181,980 F2: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.10 · Expires 2026-01-21 | Direct | 38,225 |
Reported balance
Holding disclosure · report date 2018-01-19 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 38,225 F2: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.00 · Expires 2024-08-01 | Direct | 175,000 |
Reported balance
Holding disclosure · report date 2018-01-19 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 175,000 F3: Options vest in 4 yearly increments starting with the Date Exercisable. |
| Non-qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.09 · Expires 2025-03-25 | Direct | 12,907 |
Reported balance
Holding disclosure · report date 2018-01-19 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 12,907 F3: Options vest in 4 yearly increments starting with the Date Exercisable. |
| Common StockSEC Table I · non-derivative | Direct | 78,354 |
Reported balance
Holding disclosure · report date 2018-01-19 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 78,354 |
| Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.47 · Expires 2022-03-14 | Direct | 86,135 |
Reported balance
Holding disclosure · report date 2018-01-19 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 86,135 |
Filing footnotes · ownership attribution and instrument terms
F1: Options 100% vest on the date exercisable (one year).
F2: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter.
F3: Options vest in 4 yearly increments starting with the Date Exercisable.
F4: Not Applicable
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 |
|---|---|---|---|---|---|---|
| January 19, 2018 Filed Jan 23, 2018 23:10 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantNon-qualified Stock Option (right to buy) · Derivative | 150,000 | Not disclosed Strike: $1.83 | Not disclosed |
DisclosureSEC source: 0001615774-18-000518 · s108784_form4.xml · derivative · entry 2 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-01-19 F4 · price: Not Applicable F1 · derivative.exercise_date: Options 100% vest on the date exercisable (one year). Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:10 UTC | Vivani Medical, Inc. EYES · Entity 6636 | PurchaseWarrant to Purchase Common Stock · Derivative | 5,500 | $0.37 Strike: $1.47 | $2,007.50 |
DisclosureSEC source: 0001615774-17-002629 · s106296_form4.xml · derivative · entry 5 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,135 Underlying: Common Stock · 5,500 shares Expires 2022-03-14 Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:10 UTC | Vivani Medical, Inc. EYES · Entity 6636 | PurchaseWarrant to Purchase Common Stock · Derivative | 5,000 | $0.37 Strike: $1.47 | $1,850.00 |
DisclosureSEC source: 0001615774-17-002629 · s106296_form4.xml · derivative · entry 4 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,635 Underlying: Common Stock · 5,000 shares Expires 2022-03-14 Read SEC document |
| May 22, 2017 Filed May 23, 2017 20:10 UTC | Vivani Medical, Inc. EYES · Entity 6636 | PurchaseWarrant to Purchase Common Stock · Derivative | 5,200 | $0.36 Strike: $1.47 | $1,872.00 |
DisclosureSEC source: 0001615774-17-002629 · s106296_form4.xml · derivative · entry 3 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,635 Underlying: Common Stock · 5,200 shares Expires 2022-03-14 Read SEC document |
| May 19, 2017 Filed May 23, 2017 20:10 UTC | Vivani Medical, Inc. EYES · Entity 6636 | PurchaseWarrant to Purchase Common Stock · Derivative | 3,000 | $0.35 Strike: $1.47 | $1,050.00 |
DisclosureSEC source: 0001615774-17-002629 · s106296_form4.xml · derivative · entry 2 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,435 Underlying: Common Stock · 3,000 shares Expires 2022-03-14 Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 21:42 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantWarrant to Purchase Common Stock · Derivative | 67,435 | Not disclosed Strike: $1.47 | Not disclosed |
DisclosureSEC source: 0001615774-17-001104 · s105573_form4.xml · derivative · entry 2 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,435 Underlying: Common Stock · 67,435 shares Expires 2022-03-14 F1 · shares: 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. F1 · price: 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. Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 21:42 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantCommon Stock | 67,435 | $1.47 | $99,129.45 |
DisclosureSEC source: 0001615774-17-001104 · s105573_form4.xml · nonDerivative · entry 1 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,354 F1 · balance_after: 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. Read SEC document |
| January 03, 2017 Filed Jan 6, 2017 01:13 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 181,980 | Not disclosed Strike: $1.97 | Not disclosed |
DisclosureSEC source: 0001615774-17-000054 · s105065_form4.xml · derivative · entry 2 MILLER THOMAS B · CIK 0001236896 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,980 Underlying: Common Stock · 181,980 shares Expires 2027-01-03 F2 · shares: Options to purchase 181,980 shares of the Company's common stock were granted to Mr. Miller under the Company's 2011 Equity Incentive Plan. F5 · price: Not Applicable F3 · derivative.exercise_date: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. 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.