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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
879682	Viveve Medical Inc.	PLCSD	Electromedical & Electrotherapeutic Apparatus (3845)	043153858

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1219014	M Scott Rocklage	C/O 5Am Ventures, 2200 Sand Hill Road Suite 110 Menlo Park CA 94025	No	No	Yes	No
1240357	D John Diekman	C/O 5 Am Ventures, 2200 Sand Hill Road Suite 110 Menlo Park CA 94025	No	No	Yes	No
1386509	5Am Ventures Ii Lp	2200 Sand Hill Rd, Suite 110 Menlo Park CA 94025	No	No	Yes	No
1390376	5Am Co-Investors Ii Lp	2200 Sand Hill Rd, Suite 110 Menlo Pk CA 94025	No	No	Yes	No
1555952	5Am Partners Ii, Llc	2200 Sand Hill Road, Suite 110 Menlo Park CA 94025	No	No	Yes	No
1598549	J. Andrew Schwab	C/O 5Am Ventures, 2200 Sand Hill Road Suite 110 Menlo Park CA 94025	No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-09-23	5,017,677	$0.53	6,660,205	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2014-09-23	197,987	$0.53	262,798	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Footnotes

Shares directly beneficially owned by 5AM Ventures II, L.P.
Shares directly beneficially owned by 5AM Co-Investors II, L.P.
5AM Partners II, LLC is the general partner of 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. and may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage, the managing members of 5AM Partners II, LLC, and Mark Colella, an assignee of 5AM Partners II, LLC, may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Each of 5AM Partners II, LLC, Dr. Diekman, Mr. Schwab, Dr. Rocklage and Mr. Colella disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
Includes 933,544 shares issued upon conversion of a convertible promissory note issued by Viveve, Inc. in aggregate principal and interest amount of $494,778.44 at a conversion price of $0.53 per share.
Includes 36,836 shares issued upon conversion of a convertible promissory note issue by Viveve, Inc. in aggregate principal and interest amount of $19,522.93 at a conversion price of $0.53 per share.