Filing Details
- Accession Number:
- 0001593968-18-000496
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-05 20:30:02
- Reporting Period:
- 2018-02-16
- Accepted Time:
- 2018-03-05 20:30:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1627146 | Himanshu Patel | 400 Chesapeake Drive Redwood City CA 94063 | Cto | No | 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 | 2018-03-01 | 62 | $0.93 | 2,484 | No | 4 | J | Direct | |
| Series B Preferred Stock | Acquisiton | 2018-02-16 | 50 | $1,000.00 | 50 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series 1 Warrants | Acquisiton | 2018-02-16 | 25,000 | $0.00 | 25,000 | $2.00 |
| Common Stock | Series 2 Warrants | Acquisiton | 2018-02-16 | 25,000 | $0.00 | 25,000 | $2.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 31,725 | 2018-02-16 | 2025-02-17 | No | 4 | P | Direct |
| 56,725 | 2018-02-16 | 2025-02-17 | No | 4 | P | Direct |
Footnotes
- The reporting person is a participant of the 2015 Employee Stock Purchase Plan, which made a purchase for $0.9265 per share consideration of Common Stock of the Issuer on March 1, 2018.
- These shares were purchased by the reporting person in connection with an underwritten public offering by the Issuer. The offering closed on February 16, 2018. The reported sale price reflects the price at which the reporting person purchased the shares from the underwriters.
- The Series 2 Warrants expire the earlier of (i) 5:00 pm New York City time on February 17, 2025 and (ii) sixty days following the announcement of FDA clearance to market Pantheris, provided, however, if at any time during such 60-day period the VWAP for any trading day is less than the exercise price, the termination date shall be extended to February 17, 2025.
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