Filing Details
- Accession Number:
- 0000899243-16-028512
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-06 12:31:34
- Reporting Period:
- 2016-09-01
- Filing Date:
- 2016-09-06
- Accepted Time:
- 2016-09-06 12:31:34
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1393020 | Invuity Inc. | IVTY | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1034251 | M Philip Sawyer | C/O Invuity, Inc. 444 De Haro Street San Francisco CA 94107 | President And Ceo | Yes | Yes | 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 | 2016-09-01 | 6,000 | $1.30 | 6,000 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-09-01 | 6,000 | $13.60 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-09-01 | 6,000 | $0.00 | 6,000 | $1.30 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
83,584 | 2020-11-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 216,600 | Indirect | See footnote |
Footnotes
- The option shares were exercised pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Person on November 30, 2015 (the "Trading Plan").
- The shares were sold pursuant to the Trading Plan.
- This transaction was executed in multiple trades at prices ranging from $13.34 to $13.93. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- The shares are held by Helix Founders Fund, L.P. ("HFF"). HFF GP, LLC is the General Partner of HFF, and Helix Ventures, LLC ("Helix Ventures") is the management company of HFF. The Reporting Person is a General Partner of Helix Ventures and disclaims beneficial ownership of shares held by HFF, except to the extent of his pecuniary interest therein.
- The Reporting Person exercised 6,000 shares of the option originally for 114,360 shares and which option vested as to one-fourth of the shares on February 22, 2011 and as to one forty-eighth of the shares each month thereafter.