Filing Details

Accession Number:
0001437749-14-017900
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-02 19:28:31
Reporting Period:
2014-09-23
Filing Date:
2014-10-02
Accepted Time:
2014-10-02 19:28:31
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
1542844 A/C Iii Bioventures Gbs Level 5
71 Collins Street
Melbourne C3 VIC 3000
No No Yes No
1542845 Gbs Venture Partners Pty, Ltd Level 5
71 Collins Street
Melbourne C3 VIC 3000
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 2014-09-23 947,872 $0.53 3,598,807 No 4 P Indirect See footnotes
Common Stock Acquisiton 2014-09-23 947,872 $0.53 3,598,807 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnotes
No 4 P Direct
Footnotes
  1. Directly beneficially owned by GBS BioVentures III.
  2. GBS Venture Partners Limited is trustee for GBS BioVentures III and may be deemed to have sole voting and investment power over the shares beneficially owned by GBS BioVentures III. Brigitte Smith is the Managing Partner of GBS Venture Partners. GBS Venture Partners Limited and Ms. Smith disclaim beneficial ownership of such shares except to the extent of its or her pecuniary interest therein
  3. Such amount includes shares issued upon conversion of a Viveve, Inc. convertible promissory note with an aggregate principal and interest amount of $85,716.55, at a conversion price of $0.53 per share.