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Filing Details

Accession Number:: 0001144204-14-057943
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-09-25 18:38:17
Reporting Period:: 2014-09-23

Filing Date:: 2014-09-25
Accepted Time:: 2014-09-25 18:38:17
SEC Url:: Form 4 Filing

Issuer

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

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1618336	Samuel Mark Colella	2200 Sand Hill Road, Suite 110 Menlo Park CA 94025		Yes	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	1,642,528	$0.00	1,642,528	No	4	J	Indirect	See Footnote
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	64,811	$0.00	64,811	No	4	J	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	J	Indirect	See Footnote
No	4	P	Indirect	See Footnote
No	4	J	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Footnotes

Received in exchange for 134,685,584 Series A Preferred shares, 69,362,763 Series B Preferred shares and the cancellation of promissory notes and warrants in the aggregate amount of $3,313,198.99 of Viveve Inc. in connection with the merger of Viveve Inc. into PLC Systems Inc. (now Viveve Medical Inc.).
Shares directly beneficially owned by 5AM Ventures 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
Received in exchange for 5,314,393 Series A Preferred shares, 2,736,911 Series B Preferred shares and the cancellation of promissory notes and warrants in the aggregate amount of $130,731.94 of Viveve Inc. in connection with the merger of Viveve Inc. into PLC Systems Inc. (now Viveve Medical Inc.).
Shares directly beneficially owned by 5AM Co-Investors II, L.P.
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.