0001437749-16-038047.txt : 20160824 0001437749-16-038047.hdr.sgml : 20160824 20160824205649 ACCESSION NUMBER: 0001437749-16-038047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160822 FILED AS OF DATE: 20160824 DATE AS OF CHANGE: 20160824 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VIVEVE MEDICAL, INC. CENTRAL INDEX KEY: 0000879682 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 043153858 STATE OF INCORPORATION: B0 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 150 COMMERCIAL STREET CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4085301900 MAIL ADDRESS: STREET 1: 150 COMMERCIAL STREET CITY: SUNNYVALE STATE: CA ZIP: 94086 FORMER COMPANY: FORMER CONFORMED NAME: PLC SYSTEMS INC DATE OF NAME CHANGE: 19930328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Brigitte CENTRAL INDEX KEY: 0001555775 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11388 FILM NUMBER: 161850293 MAIL ADDRESS: STREET 1: KALOBIOS PHARMACEUTICALS, INC. STREET 2: 260 EAST GRAND AVE. CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 rdgdoc.xml FORM 4 X0306 4 2016-08-22 0000879682 VIVEVE MEDICAL, INC. VIVE 0001555775 Smith Brigitte 150 COMMERCIAL STREET SUNNYVALE CA 94086 1 Common Stock 2016-08-22 4 A 0 1279 0 A 25312 D Common Stock 449852 I See Non-Qualified Stock Option (Right to Purchase) 7.89 2016-08-22 4 A 0 4590 0 A 2026-08-22 Common Stock 4590 4590 D The reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 1,279 shares of common stock on August 22, 2016 (the "Grant Date"). The restricted stock award vested in the full on the Grant Date. Directly beneficially owned by GBS Venture Partners Pty Ltd., as trustee for GBS BioVentures III. GBS Venture Partners Pty Ltd. is trustee for GBS BioVentures III. Brigitte Smith is the Managing Partner of GBS Venture Partners Pty Ltd. and may be deemed to have voting and investment power over the shares beneficially owned by GBS BioVentures III. Voting and investment power over the shares owned of record by GBS Venture Partners Pty Ltd., as trustee for GBS BioVentures III, may be deemed to be held by Ms. Smith. Each of GBS Venture Partners Pty Ltd. and Ms. Smith disclaims beneficial ownership of such shares except to the extent of its or her pecuniary interest therein. The reporting person is a participant in the Plan and received 4,590 non-qualified stock options on the Grant Date. The non-qualified stock options will vest and become exercisable in 36 equal monthly installments beginning on the first day of the month following the Grant Date. /s/ Brigitte Smith 2016-08-24