Gregg Williams - Aug 30, 2022 Form 4 Insider Report for Vivani Medical, Inc. (VANI)

Role
Director, 10%+ Owner
Signature
/s/ Gregg Williams
Stock symbol
VANI
Transactions as of
Aug 30, 2022
Transactions value $
$0
Form type
4
Date filed
9/1/2022, 09:30 PM
Previous filing
Jun 15, 2022
Next filing
Nov 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VANI Common Stock Other $0 +7.89M +210.67% $0.00 11.6M Aug 30, 2022 See footnote F1, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +424K $0.00 424K Aug 30, 2022 common stock 424K $3.15 Trust F2
transaction VANI Warrant Other $0 +159K $0.00 159K Aug 30, 2022 common stock 159K $3.15 Trust F2
transaction VANI Warrant Other $0 +477K $0.00 477K Aug 30, 2022 common stock 477K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +191K $0.00 191K Aug 30, 2022 common stock 191K $3.15 Trust F2
transaction VANI Warrant Other $0 +127K $0.00 127K Aug 30, 2022 common stock 127K $3.15 Trust F2
transaction VANI Warrant Other $0 +127K $0.00 127K Aug 30, 2022 common stock 127K $3.15 Trust F2
transaction VANI Warrant Other $0 +127K $0.00 127K Aug 30, 2022 common stock 127K $3.15 Trust F2
transaction VANI Warrant Other $0 +60.5K $0.00 60.5K Aug 30, 2022 common stock 60.5K $3.15 Trust F2
transaction VANI Warrant Other $0 +79.5K $0.00 79.5K Aug 30, 2022 common stock 79.5K $3.15 Trust F2
transaction VANI Warrant Other $0 +110K $0.00 110K Aug 30, 2022 common stock 110K $3.15 Trust F2
transaction VANI Warrant Other $0 +318K $0.00 318K Aug 30, 2022 common stock 318K $3.15 Trust F2
transaction VANI Warrant Other $0 +330K $0.00 330K Aug 30, 2022 common stock 330K $3.15 Trust F2
transaction VANI Warrant Other $0 +330K $0.00 330K Aug 30, 2022 common stock 330K $3.15 Trust F2
transaction VANI Warrant Other $0 +330K $0.00 330K Aug 30, 2022 common stock 330K $3.15 Trust F2
transaction VANI Warrant Other $0 +330K $0.00 330K Aug 30, 2022 common stock 330K $3.15 Trust F2
transaction VANI Warrant Other $0 +330K $0.00 330K Aug 30, 2022 common stock 330K $3.15 Trust F2
transaction VANI Warrant Other $0 +330K $0.00 330K Aug 30, 2022 common stock 330K $3.15 Trust F2
transaction VANI Warrant Other $0 +330K $0.00 330K Aug 30, 2022 common stock 330K $3.15 Trust F2
transaction VANI Warrant Other $0 +507K $0.00 507K Aug 30, 2022 common stock 507K $3.15 Trust F2
transaction VANI Warrant Other $0 +507K $0.00 507K Aug 30, 2022 common stock 507K $3.15 Trust F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of common stock issued in the acquisition transaction of Nano Precision Medical Inc. consummated on August 30, 2022.
F2 Represents warrants to purchase shares of common stock assumed on the effective date of the acquisition of Nano Precision medical, Inc., consummated on August 30, 2022, pursuant to the Agreement and Plan of Merger dated February 4, 2022.
F3 After giving effect to the transactions reported on this Form 4, shares beneficially owned by Mr. Williams include (i) 9,511,062 shares of common stock and warrants to purchase 7,808,405 shares of common stock owned by GW Trust, (ii) 1,212,856 shares of common stock and warrants to purchase 1,151,012 shares of common stock owned by Williams International Co. LLC (iii) 181,587 shares of common stock owned by Sam Williams Family Investments LLC and (iv) 731,309 shares of common stock and warrants to purchase 287,753 shares of common stock owned by GST. Greg Williams has voting and dispositive power over all of these shares.