0001213900-16-010586.txt : 20160203 0001213900-16-010586.hdr.sgml : 20160203 20160203162316 ACCESSION NUMBER: 0001213900-16-010586 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160203 DATE AS OF CHANGE: 20160203 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42378 FILM NUMBER: 161385152 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA CAPITAL ANSTALT CENTRAL INDEX KEY: 0001140358 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: PRADAFAUT 7 STREET 2: FURSTENTUMS 1490 CITY: VADUZ LIECHTENSTEIN STATE: C4 ZIP: 99999 BUSINESS PHONE: 0114232376363 MAIL ADDRESS: STREET 1: PRADAFAUT 7 STREET 2: FURSTENTUMS 1490 CITY: VADUZ LIECHTENSTEIN STATE: C4 ZIP: 99999 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA CAPITAL AKTIENGESELLSCHAFT DATE OF NAME CHANGE: 20010510 SC 13G/A 1 sc13g0216a2alpha_viveve.htm AMENDMENT NO. 2 TO SCHEDULE 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. 2)

 

VIVEVE MEDICAL INC. (f/k/a PLC SYSTEMS, INC.)

 

(Name of Issuer)

 

COMMON STOCK, NO PAR VALUE

 

(Title of Class of Securities)

 

69341D104

 

(CUSIP Number)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒  Rule 13d-1(c)

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

  

(Continued on following page(s)

 

Page 1 of 4 Pages

 

 

 

 

 

 

CUSIP No. 69341D104   13G   Page 2 of 4 Pages

 

1. NAMES OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Alpha Capital Anstalt

 

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a)  ☐

(b)  ☐

 

3. SEC USE ONLY

 

 

 

4. CITIZENSHIP OR PLACE OF ORGANIZATION

 

Liechtenstein

 

5. SOLE VOTING POWER, NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON – 740,444 Common Stock

 

 

6. SHARED VOTING POWER - None

 

 

7. SOLE DISPOSITIVE POWER – 740,444 shares of Common Stock

  

 

8. SHARED DISPOSITIVE POWER – None

 

 

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 740,444 shares of Common Stock

 

 

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES                   ☐

 

 

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

1.23%

 

12. TYPE OF REPORTING PERSON

 

CO

 

 

 

 

 

CUSIP No. 69341D104   13G   Page 3 of 4 Pages

 

ITEM 1 (a) NAME OF ISSUER: Viveve Medical, Inc. (formerly known as PLC Systems, Inc.), a Yukon Territory, Canada corporation

 

ITEM 1 (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:

 

459 Fortune Boulevard, Milford, MA 01757

 

ITEM 2 (a) NAME OF PERSON FILING: Alpha Capital Anstalt

 

ITEM 2 (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:

 

Pradafant 7, Furstentums 9490, Vaduz, Liechtenstein

 

ITEM 2 (c) CITIZENSHIP: Liechtenstein

 

ITEM 2 (d) TITLE OF CLASS OF SECURITIES: Common Stock, no par value

 

ITEM 2 (e) CUSIP NUMBER: 69341D104

 

ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B) OR 13D-2(B): Not applicable

 

ITEM 4 OWNERSHIP

 

(a) AMOUNT BENEFICIALLY OWNED: 740,444 Shares of Common Stock

 

(b) PERCENT OF CLASS: 1.23%

 

(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:

 

(i) SOLE POWER TO VOTE OR DIRECT THE VOTE

 

740,444 Shares

 

(ii) SHARED POWER TO VOTE OR DIRECT THE VOTE

 

0 Shares

 

(iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

 

740,444 Shares

 

(iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

 

0 Shares

 

 

 

 

CUSIP No. 69341D104   13G   Page 4 of 4 Pages

 

ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS

 

Alpha Capital Anstalt’s ownership is now under 5%.

  

ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON

 

Not applicable

 

ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY

 

Not applicable

 

ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF A GROUP

 

Not applicable

 

ITEM 9 NOTICE OF DISSOLUTION OF GROUP

 

Not applicable

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

  February 3, 2016
  (Date)
   
 

/s/ Konrad Ackermann

  (Signature)
   
 

Konrad Ackermann, Director

  (Name/Title)