0001593968-16-000940.txt : 20160722 0001593968-16-000940.hdr.sgml : 20160722 20160722161522 ACCESSION NUMBER: 0001593968-16-000940 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160712 FILED AS OF DATE: 20160722 DATE AS OF CHANGE: 20160722 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avinger Inc CENTRAL INDEX KEY: 0001506928 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 208873453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 400 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-363-2400 MAIL ADDRESS: STREET 1: 400 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simpson John D. CENTRAL INDEX KEY: 0001628344 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36817 FILM NUMBER: 161779871 MAIL ADDRESS: STREET 1: C/O AVINGER, INC. STREET 2: 400 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 3 1 primary_01.xml PRIMARY DOCUMENT X0206 3 2016-07-12 0 0001506928 Avinger Inc AVGR 0001628344 Simpson John D. 400 CHESAPEAKE DRIVE REDWOOD CITY CA 94063 false true false false Sr. VP, Sales & Marketing Common stock 37037 I John David Simpson Trustee of Simpson Trust Dated 12/9/08 Common stock 5036 I John David Simpson Trustee of Simpson Trust Dated 12/9/08 Common stock 76490 I John David Simpson Trustee of Simpson Trust Dated 12/9/08 Common stock 30974 I John David Simpson Trustee of Simpson Trust Dated 12/9/08 Common stock 39681 I John David Simpson Trustee of Simpson Trust Dated 12/9/08 Common stock 62379 I John David Simpson Trustee of Simpson Trust Dated 12/9/08 Common stock 986 I John David Simpson Trustee of Simpson Trust Dated 12/9/08 Option (right to buy) 4.50 2014-12-31 2024-12-31 Common Stock 22222 D Option (right to buy) 4.50 2014-12-31 2024-12-31 Common Stock 36161 D Option (right to buy) 4.95 2010-03-09 2020-03-09 Common Stock 5747 D Option (right to buy) 4.95 2010-06-16 2020-07-01 Common Stock 4738 D Option (right to buy) 12.60 2011-07-29 2021-07-29 Common Stock 952 D Option (right to buy) 12.60 2011-07-29 2021-07-29 Common Stock 7936 D Option (right to buy) 20.25 2013-05-01 2023-05-01 Common Stock 4938 D Option (right to buy) 20.25 2013-05-01 2023-05-01 Common Stock 10211 D Stock Option (Right to Buy) 12.99 2017-03-03 2026-03-03 Stock Option (Right to Buy) 15000 D Restricted Stock Units 2017-03-03 Common stock 7500 D Warrants 12.60 2014-09-02 2016-09-02 Common stock 27777 I John David Simpson Trustee of Simpson Trust dated 12/9/08 The stock options vest 25% on the first anniversary of the transaction date and monthly thereafter in 36 equal increments. No exercise price for this type of award No expiration date for this type of award Reporting person received a grant under the 2015 Plan of RSUs with a grant date fair value of $12.99 per share. The RSUs vest annually over four years in equal increments. /s/ John D Simpson 2016-07-22