144 1 dp96405_144-raanes.htm FORM 144

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
OMB APPROVAL
OMB Number: 3235-0101
Expires: June 30, 2020
Estimated average burden hours per response 1.00
 
SEC USE ONLY
DOCUMENT SEQUENCE NO.

CUSIP NUMBER

ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker WORK LOCATION

   

1 (a) NAME OF ISSUER (Please type or print)

(b) IRS IDENT. NO. (c) S.E.C. FILE NO.
 ViewRay, Inc. [VRAY]  42-1777485  001-37725
1 (d) ADDRESS OF ISSUER
STREET

CITY

STATE

ZIP CODE

(e) TELEPHONE NO.
Area Code Number
   2 Thermo Fisher Way  Oakwood Village  OH  44146  440  703-3210

 

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD (b) RELATIONSHIP TO ISSUER (c) ADDRESS STREET CITY STATE ZIP CODE
 Chris Raanes  Former Officer  c/o Viewray, Inc., 2 Thermo Fisher Way Oakwood Village OH  44146 

 

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3 (a) Title of the Class of Securities To Be Sold (b) Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities

SEC USE
ONLY

Broker-Dealer

File Number

(c) Number of Shares or Other Units To Be Sold (See instr. 3(c)) (d) Aggregate Market Value
(See instr. 3(d))
(e) Number of Shares or Other Units Outstanding (See instr. 3(e)) (f) Approximate Date of Sale (See instr. 3(f))
(MO. DAY YR.)

(g) Name of Each
Securities
Exchange
(See instr. 3(g))

 Common Stock

RBC Capital Markets

Suite 1200

Two Embarcadero

Center San Francisco CA 94111
United States

  200,000  $1,956,000 based on closing price on 10/01/2018 of $9.78 75,206,716 as of 07/27/2018  10/2/2018  Nasdaq

  

INSTRUCTIONS:

1.

(a)   Name of issuer

(b)   Issuer’s I.R.S. Identification Number

(c)   Issuer’s S.E.C. file number, if any

(d)   Issuer’s address, including zip code

(e)   Issuer’s telephone number, including area code

3.

(a)   Title of the class of securities to be sold

(b)   Name and address of each broker through whom the securities are intended to be sold

(c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

(d)   Aggregate market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice

(e)   Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

(f)    Approximate date on which the securities are to be sold

(g)   Name of each securities exchange, if any, on which the securities are intended to be sold

2

(a)   Name of person for whose account the securities are to be sold

(b)   Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)

(c)   Such person’s address, including zip code

   
  Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

 

 

 

 

TABLE I — SECURITIES TO BE SOLD

 

Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of the Class Date you Acquired Nature of Acquisition Transaction Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of
Securities Acquired
Date of Payment Nature of Payment
Common Stock   10/2/2018

 

Stock Option Exercise  Issuer  200,000   10/2/2018  Cashless exercise

  

INSTRUCTIONS:If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 

 

  

TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS
 
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
 
Name and Address of Seller Title of Securities Sold Date of Sale Amount of Securities Sold Gross Proceeds

Chris Raanes

c/o Viewray, Inc.

2 Thermo Fisher Way

Oakwood Village, OH 44146

 

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

09/21/2018

09/20/2018

09/14/2018

09/13/2018

09/07/2018

09/06/2018

09/05/2018

09/04/2018

08/29/2018

08/27/2018

08/20/2018

08/15/2018

08/14/2018

08/10/2018

08/09/2018

29,188

25,000

75,000

25,000

1,185

24,315

50,000

19,035

100,000

100,000

100,000

18,066

81,934

14,896

85,104

$288,564.00

$245,000.75

$749,710.29

$247,540.40

$11,738.97

$243,733.70

$495,483.84

$190,353.00

$1,009,879.35

$988,346.46

$997,576.34

$179,790.70

$812,168.61

$146,725.60

$841,523.70

   

REMARKS:

 

 

 

INSTRUCTIONS:

 

See the definition of “person” in paragraph (a) of Rule 144.  Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition.  In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

 

ATTENTION:

 

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.  If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instructions given, that person makes such representation as of the plan adoption or instruction date.

 

 10/2/2018
Date of Notice 
 
Date of Plan Adoption or Giving of Instruction, if Relying on Rule 10b5-1.
 
/s/ Chris A. Raanes
(Signature)

 

 

 The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. 

 

ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)