0000899243-16-030989.txt : 20161004 0000899243-16-030989.hdr.sgml : 20161004 20161004190337 ACCESSION NUMBER: 0000899243-16-030989 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161003 FILED AS OF DATE: 20161004 DATE AS OF CHANGE: 20161004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Invuity, Inc. CENTRAL INDEX KEY: 0001393020 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: CA BUSINESS ADDRESS: STREET 1: 444 DE HARO STREET CITY: San Francisco STATE: CA ZIP: 94107 BUSINESS PHONE: 415-655-2100 MAIL ADDRESS: STREET 1: 444 DE HARO STREET CITY: San Francisco STATE: CA ZIP: 94107 FORMER COMPANY: FORMER CONFORMED NAME: Spotlight Surgical Inc DATE OF NAME CHANGE: 20070313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SAWYER PHILIP M CENTRAL INDEX KEY: 0001034251 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37417 FILM NUMBER: 161920835 MAIL ADDRESS: STREET 1: C/O INVUITY, INC. STREET 2: 444 DE HARO STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94107 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-10-03 0 0001393020 Invuity, Inc. IVTY 0001034251 SAWYER PHILIP M C/O INVUITY, INC. 444 DE HARO STREET SAN FRANCISCO CA 94107 1 1 0 0 President and CEO Common Stock 2016-10-03 4 M 0 5100 1.295 A 5100 D Common Stock 2016-10-03 4 S 0 5100 13.16 D 0 D Common Stock 216600 I See footnote Employee Stock Option (right to buy) 1.295 2016-10-03 4 M 0 5100 0.00 D 2020-11-17 Common Stock 5100 78484 D The option shares were exercised pursuant to the Rule 10b5-1 trading plan entered into by the Reporting Person on November 30, 2015 (the "Trading Plan"). The shares were sold pursuant to the Trading Plan. This transaction was executed in multiple trades at prices ranging from $13.00 to $13.53. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The shares are held by Helix Founders Fund, L.P. ("HFF"). HFF GP, LLC is the General Partner of HFF, and Helix Ventures, LLC ("Helix Ventures") is the management company of HFF. The Reporting Person is a General Partner of Helix Ventures and disclaims beneficial ownership of shares held by HFF, except to the extent of his pecuniary interest therein. The Reporting Person exercised 5,100 shares of the option originally for 114,360 shares and which option vested as to one-fourth of the shares on February 22, 2011 and as to one forty-eighth of the shares each month thereafter. /s/ Nancy Hargreaves, by power of attorney 2016-10-04