Filing Details
- Accession Number:
- 0001104659-15-006709
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-04 17:14:43
- Reporting Period:
- 2015-02-04
- Filing Date:
- 2015-02-04
- Accepted Time:
- 2015-02-04 17:14:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1506928 | Avinger Inc | AVGR | Surgical & Medical Instruments & Apparatus (3841) | 208873453 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1189596 | B James Mcelwee | C/O Avinger, Inc., 400 Chesapeake Drive Redwood City CA 94063 | Yes | No | No | 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 | 2015-02-04 | 15,072 | $0.00 | 15,072 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2015-02-04 | 595 | $12.60 | 15,667 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2015-02-04 | 577 | $13.00 | 15,090 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | X | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2015-02-04 | 4,444 | $0.00 | 7,185 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2015-02-04 | 7,887 | $0.00 | 7,887 | $0.00 |
| Common Stock | Warrant (Right to Buy) | Disposition | 2015-02-04 | 595 | $0.00 | 595 | $12.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | 2013-10-29 | 2018-10-29 | No | 4 | X | Direct |
Footnotes
- The Series D Convertible Preferred Stock converted into Common Stock on a 1.6168809050 for 1 basis and had no expiration date.
- The Series E Convertible Preferred Stock converted into Common Stock on a 1 for 1 basis and had no expiration date.
- On February 4, 2015, the reporting person exercised a warrant to purchase 595 share of Avinger, Inc. Common Stock for $12.60 per share. The reporting person paid the exercise price on a cashless basis, resulting in Avinger, Inc.'s withholding of 577 of the warrant shares to pay the price and issuing to the reporting person the remaining 18 shares. Avinger, Inc. also paid $3.87 to the reporting person in lieu of a fractional share.
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