X0206 3 2015-01-29 0 0001506928 Avinger Inc AVGR 0001142630 CULLEN JAMES C/O AVINGER, INC., 400 CHESAPEAKE DRIVE REDWOOD CITY CA 94063 1 0 0 0 Series C Convertible Preferred Stock Common Stock 24968 I By Gilbert Investments, LLC Series D Convertible Preferred Stock Common Stock 8103 I By 2000 James Cullen Generation Skipping Family Trust Series E Convertible Preferred Stock Common Stock 19646 I By Gilbert Investments, LLC Series E Convertible Preferred Stock Common Stock 15872 I By Gilbert Investments, LLC Stock Option (Right to Buy) 4.50 2024-12-31 Common Stock 24444 D Warrant (Right to Buy) 12.60 2018-10-29 Common Stock 2380 I By Gilbert Investments, LLC Warrant (Right to Buy) 12.60 2019-09-02 Common Stock 24862 I By Gilbert Investments, LLC Immediately N/A Converts into common stock on a 1.531738042-for-1 basis Converts into common stock on a 1.616880905-for-1 basis 1-for-1 Mr. Cullen has sole voting and dispositive power with respect to shares held by Gilbert Investments, LLC. Mr. Cullen disclaims beneficial ownership in Gilbert Investments, LLC except to the extent of his pecuniary interest therein. Mr. Cullen has sole voting and dispositive power with respect to shares held by 2000 James Cullen Generation Skipping Family Trust. Mr. Cullen does not have a pecuniary interest in the 2000 James Cullen Generation Skipping Family Trust. The Date of Event is based upon the date of effectiveness of the Issuer's Registration Statement on Form S-1 filed in connection with the Issuer's initial public offering, estimated to be on or about January 29, 2015. /s/ James G. Cullen 2015-01-29