0001615774-15-001372.txt : 20150604 0001615774-15-001372.hdr.sgml : 20150604 20150604172438 ACCESSION NUMBER: 0001615774-15-001372 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150602 FILED AS OF DATE: 20150604 DATE AS OF CHANGE: 20150604 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SECOND SIGHT MEDICAL PRODUCTS INC CENTRAL INDEX KEY: 0001266806 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 000000000 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12744 SAN FERNANDO ROAD, BLDG. 3 CITY: SYLMAR STATE: CA ZIP: 91342 BUSINESS PHONE: 818-833-5000 MAIL ADDRESS: STREET 1: 12744 SAN FERNANDO ROAD, BLDG. 3 CITY: SYLMAR STATE: CA ZIP: 91342 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Greenberg Robert J. CENTRAL INDEX KEY: 0001625594 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36747 FILM NUMBER: 15913805 MAIL ADDRESS: STREET 1: 12744 SAN FERNANDO ROAD, BLDG. 3 CITY: SYLMAR STATE: CA ZIP: 91342 4 1 s101270_form4.xml 4 X0306 4 2015-06-02 0 0001266806 SECOND SIGHT MEDICAL PRODUCTS INC EYES 0001625594 Greenberg Robert J. 12744 SAN FERNANDO ROAD, BLDG. 3 SYLMAR CA 91342 1 1 0 0 CHIEF EXECUTIVE OFFICER COMMON STOCK 2015-06-02 4 M 0 78153 4.75 A 301187 D COMMON STOCK 2015-06-02 4 F 0 26586 13.96 D 275231 D COMMON STOCK 2015-06-02 4 S 0 78153 13.96 D 197078 D COMMON STOCK 2015-06-03 4 M 0 71847 4.75 A 268925 D COMMON STOCK 2015-06-03 4 F 0 24167 14.12 D 244758 D COMMON STOCK 2015-06-03 4 S 0 71847 14.12 D 172911 D Option 4.75 2015-06-02 4 M 0 78153 0 A 2015-09-01 Common Stock 78153 71847 D Option 4.75 2015-06-03 4 M 0 71847 0 A 2015-09-01 Common Stock 71847 0 D Option 4.25 2017-01-01 Common Stock 125000 125000 D Option 4.75 2016-01-01 Common Stock 17969 17969 D Option 5.00 2016-05-01 Common Stock 8223 8223 D Option 5.00 2017-01-01 Common Stock 30625 30625 D Option 5.00 2018-02-01 Common Stock 23750 30625 D Option 5.00 2018-11-01 Common Stock 150000 150000 D Option 5.00 2019-02-01 Common Stock 33750 33750 D Option 5.00 2020-02-01 Common Stock 53125 53125 D Option 5.00 2020-02-01 Common Stock 50625 50625 D Option 5.00 2021-03-01 Common Stock 41563 41563 D Option 5.00 2022-03-01 Common Stock 29063 29063 D Option 5.00 2024-04-01 Common Stock 11719 11719 D Dr. Greenberg exercised 78,153 vested options reported as Option(C) on Form 3 filed with the SEC on November 18, 2014. Dr. Greenberg tendered 26,586 shares of common stock to the Company in accordance with Rule 16b-3. The fair market value on the day of the exercise. The price reported in Column 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.56 to $14.35, inclusive. The broker remitted $277,224 to the Company to cover withholding obligations. The reporting person undertakes to provide to the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. These transactions were effected pursuant to planned sales under lock-up agreement entered into at the time of EYES IPO in November 2014, as approved by Board of EYES and the IPO underwriter and as further disclosed in the Company's final prospectus dated November 20, 2014. Dr. Greenberg exercised 71,847 vested options reported as Option(C) on Form 3 filed with the SEC on November 18, 2014. Dr. Greenberg tendered 24,167 shares of common stock to the Company in accordance with Rule 16b-3. The price reported in Column 4 is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.50 to $14.64, inclusive. The broker remitted $351,333 to the Company to cover withholding obligations. The reporting person undertakes to provide to the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. These transactions were effected pursuant to planned sales under lock-up agreement entered into at the time of EYES IPO in November 2014, as approved by Board of EYES and the IPO underwriter and as further disclosed in the Company's final prospectus dated November 20, 2014. These are vested employee options currently exercisable. Excludes unvested employee options covering 490,752 shares, not exercisable for over 60 days from this date. Sales were automatically effected pursuant to 10b5-1 trading plan and trades reported on this Form 4 constitute the final trades pursuant to this 10b5-1 plan adopted by the reporting person. /s/ Robert J. Greenberg 2015-06-04