UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series F Preferred Stock | Â (1) | Â (1) | Common Stock | 18,245 | $ (1) | I | See footnote (2) |
Director Stock Option (right to buy) | Â (3) | 10/21/2024 | Common Stock | 24,648 | $ 3.15 | D | Â |
Director Stock Option (right to buy) | Â (4) | 04/16/2025 | Common Stock | 4,054 | $ 11.1 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LUCIER GREGORY T C/O INVUITY, INC. 444 DE HARO STREET SAN FRANCISCO, CA 94107 |
 X |  |  |  |
/s/ Nancy Hargreaves, by power of attorney | 06/11/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 17,427 outstanding shares of Series F Preferred Stock shall automatically convert into 18,245 shares of common stock, on a 1.046962183-for-one basis immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date. |
(2) | The shares are held by RiverRoad Capital Partners, LLC, of which the Reporting Person is a managing member. |
(3) | The option is subject to an early exercise provision and is immediately exercisable. One forty-eighth of the shares subject to the option vested on November 20, 2014 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
(4) | 100% of the shares subject to the option were fully vested as of the grant of such option. |
 Remarks: Exhibit 24 - Power of Attorney |