0001753926-23-000263.txt : 20230308 0001753926-23-000263.hdr.sgml : 20230308 20230308213422 ACCESSION NUMBER: 0001753926-23-000263 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230306 FILED AS OF DATE: 20230308 DATE AS OF CHANGE: 20230308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Porter Lisa Ellen CENTRAL INDEX KEY: 0001940462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36747 FILM NUMBER: 23718005 MAIL ADDRESS: STREET 1: 778 CORDILLERAS AVE CITY: SAN CARLOS STATE: CA ZIP: 94070 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vivani Medical, 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: 5858 HORTON STREET, SUITE 280 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 818-833-5000 MAIL ADDRESS: STREET 1: 5858 HORTON STREET, SUITE 280 CITY: EMERYVILLE STATE: CA ZIP: 94608 FORMER COMPANY: FORMER CONFORMED NAME: SECOND SIGHT MEDICAL PRODUCTS INC DATE OF NAME CHANGE: 20031010 4 1 ownership.xml X0306 4 2023-03-06 0 0001266806 Vivani Medical, Inc. VANI 0001940462 Porter Lisa Ellen C/O 5858 HORTON ST, SUITE 280 EMERYVILLE CA 94608 0 1 0 0 Chief Medical Officer RSUs 2023-03-06 4 A 0 20000 0 A 2023-03-06 2027-03-06 Common Stock 20000 20000 D RSUs 2023-03-06 4 A 0 40000 0 A 2023-03-06 2027-03-06 Common Stock 40000 40000 D Each RSU represents a contingent right to receive one share of Vivani common stock. The performance based RSUs vest one third when the stock price is at or above $3.15 for three consecutive business days. Second third vests one year after that. Final third vests one year after second third. If the RSUs fail to reach $3.15 for three consecutive business days within a four year term from the date of the grant the RSUs expire. /s/ Lisa E. Porter 2023-03-08