Home > Insider Trading > Filing (0001104659-15-006713)

Filing Details

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
1323378	A Donald Lucas	C/O Avinger, Inc. 400 Chesapeake Drive Redwood City CA 94063		Yes	No	Yes	No
1529801	Lucas Venture Group Ix, Llc	C/O Avinger, Inc. 400 Chesapeake Drive Redwood City CA 94063		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	2015-02-04	23,229	$0.00	23,229	No	4	C	Indirect	Lucas Venture Group III, LLC
Common Stock	Acquisiton	2015-02-04	561,115	$0.00	561,115	No	4	C	Indirect	Lucas Venture Group IX, LLC
Common Stock	Acquisiton	2015-02-04	25,264	$12.60	586,379	No	4	X	Indirect	Lucas Venture Group IX, LLC
Common Stock	Disposition	2015-02-04	24,487	$13.00	561,892	No	4	S	Indirect	Lucas Venture Group IX, LLC
Common Stock	Acquisiton	2015-02-04	4,761	$12.60	566,653	No	4	X	Indirect	Lucas Venture Group IX, LLC
Common Stock	Disposition	2015-02-04	4,615	$13.00	562,038	No	4	S	Indirect	Lucas Venture Group IX, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	Lucas Venture Group III, LLC
No	4	C	Indirect	Lucas Venture Group IX, LLC
No	4	X	Indirect	Lucas Venture Group IX, LLC
No	4	S	Indirect	Lucas Venture Group IX, LLC
No	4	X	Indirect	Lucas Venture Group IX, LLC
No	4	S	Indirect	Lucas Venture Group IX, LLC

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C Convertible Preferred Stock	Disposition	2015-02-04	49,937	$0.00	76,490	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2015-02-04	69,662	$0.00	112,635	$0.00
Common Stock	Series D Convertible Preferred Stock	Disposition	2015-02-04	14,367	$0.00	23,229	$0.00
Common Stock	Series E Convertible Preferred Stock	Disposition	2015-02-04	371,990	$0.00	371,990	$0.00
Common Stock	Warrant (Right to Buy)	Disposition	2015-02-04	25,264	$0.00	25,264	$12.60
Common Stock	Warrant (Right to Buy)	Disposition	2015-02-04	4,761	$0.00	4,761	$12.60

Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
		No	4	C	Indirect
		No	4	C	Indirect
		No	4	C	Indirect
		No	4	C	Indirect
2013-11-08	2018-11-08	No	4	X	Indirect
2014-07-15	2019-07-15	No	4	X	Indirect

Footnotes

The Series C Convertible Preferred Stock converted into Common Stock on a 1.5317380420 for 1 basis and had no expiration date.
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.
Mr. Lucas disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest.
On February 4, 2015, the reporting person exercised a warrant to purchase 25,264 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 24,487 of the warrant shares to pay the price and issuing to the reporting person the remaining 777 shares. Avinger, Inc. also paid $4.42 to the reporting person in lieu of a fractional share.
On February 4, 2015, the reporting person exercised a warrant to purchase 4,761 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 4,615 of the warrant shares to pay the price and issuing to the reporting person the remaining 146 shares. Avinger, Inc. also paid $6.19 to the reporting person in lieu of a fractional share.