0001209191-17-034536.txt : 20170522 0001209191-17-034536.hdr.sgml : 20170522 20170522215603 ACCESSION NUMBER: 0001209191-17-034536 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170227 FILED AS OF DATE: 20170522 DATE AS OF CHANGE: 20170522 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SECOND SIGHT MEDICAL PRODUCTS INC CENTRAL INDEX KEY: 0001266806 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 000000000 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12744 SAN FERNANDO ROAD, BLDG. 3 CITY: SYLMAR STATE: CA ZIP: 91342 BUSINESS PHONE: 818-833-5000 MAIL ADDRESS: STREET 1: 12744 SAN FERNANDO ROAD, BLDG. 3 CITY: SYLMAR STATE: CA ZIP: 91342 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Incumed, LLC CENTRAL INDEX KEY: 0001678708 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36747 FILM NUMBER: 17862557 BUSINESS ADDRESS: STREET 1: 25134 RYE CANYON LOOP STREET 2: SUITE 300 CITY: VALENCIA STATE: CA ZIP: 91355 BUSINESS PHONE: 213-683-8790 MAIL ADDRESS: STREET 1: 25134 RYE CANYON LOOP STREET 2: SUITE 300 CITY: VALENCIA STATE: CA ZIP: 91355 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alfred E. Mann Living Trust CENTRAL INDEX KEY: 0001678706 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36747 FILM NUMBER: 17862558 BUSINESS ADDRESS: STREET 1: 25134 RYE CANYON LOOP STREET 2: SUITE 300 CITY: VALENCIA STATE: CA ZIP: 91355 BUSINESS PHONE: 213-683-8790 MAIL ADDRESS: STREET 1: 25134 RYE CANYON LOOP STREET 2: SUITE 300 CITY: VALENCIA STATE: CA ZIP: 91355 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-27 1 0001266806 SECOND SIGHT MEDICAL PRODUCTS INC EYES 0001678706 Alfred E. Mann Living Trust 12744 SAN FERNANDO ROAD SYLMAR CA 91342 0 0 1 0 0001678708 Incumed, LLC 12744 SAN FERNANDO ROAD SYLMAR CA 91342 0 0 1 0 Common Stock 2017-02-27 4 S 0 40591 1.675 D 2226145 I By Incumed, LLC Common Stock 2017-02-28 4 S 0 39028 1.6492 D 2187117 I By Incumed, LLC Common Stock 2017-03-01 4 S 0 44126 1.6175 D 2142991 I By Incumed, LLC Common Stock 2017-03-02 4 S 0 55824 1.5328 D 2087167 I By Incumed, LLC Common Stock 2017-03-03 4 S 0 21715 1.5258 D 2065452 I By Incumed, LLC Common Stock 2017-03-06 4 S 0 113359 1.4305 D 1952093 I By Incumed, LLC Common Stock 2017-03-07 4 S 0 94084 1.4784 D 1858009 I By Incumed, LLC Common Stock 2017-03-08 4 S 0 182917 1.6869 D 1675092 I By Incumed, LLC Common Stock 2017-03-09 4 S 0 105865 1.5714 D 1569227 I By Incumed, LLC Common Stock 2017-03-10 4 S 0 118740 1.3841 D 1450487 I By Incumed, LLC Common Stock 2017-03-13 4 S 0 23916 1.3798 D 1426571 I By Incumed, LLC Common Stock 2017-04-07 4 S 0 1426571 1.00 D 0 I By Incumed, LLC Common Stock 2017-04-07 4 S 0 5218420 1.00 D 0 D Warrants to Purchase Common Stock 5.00 2017-04-07 4 S 0 80000 0.001 D 2012-07-31 2017-07-31 Common Stock 80000 0 D Warrants to Purchase Common Stock 5.00 2017-04-07 4 S 0 280000 0.001 D 2013-02-23 2018-02-28 Common Stock 280000 0 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 14, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.62 to $1.72, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The Alfred E. Mann Living Trust is the sole manager and member of Incumed, LLC. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.61 to $1.69, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.59 to $1.68, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.50 to $1.59, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.51 to $1.56, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.38 to $1.55, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.40 to $1.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.53 to $1.79, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.48 to $1.76, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.32 to $1.47, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.35 to $1.42, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Private sale to group of individual accredited private investors. Shares disposed of by the reporting persons during the one year period following the death of Alfred E. Mann were exempt from reporting in compliance with Rule 16(a)(2)(d) of the Securities Exchange Act of 1934, as amended. /s/ Anoosheh Bostani and /s/ Michael S. Dreyer, Trustees of the Alfred E. Mann Living Trust 2017-05-22 /s/ Anoosheh Bostani and /s/ Michael S. Dreyer, Trustees of the Alfred E. Mann Living Trust, the Manager of Incumed LLC 2017-05-22