X0206 3 2015-01-29 0 0001506928 Avinger Inc AVGR 0001007708 SIMPSON JOHN B PH D MD C/O AVINGER, INC., 400 CHESAPEAKE DRIVE REDWOOD CITY CA 94063 1 0 1 0 Common Stock 56468 I By Simpson Family Trust Series A Convertible Preferred Stock Common Stock 326591 I By Simpson Family Trust Series A-1 Convertible Preferred Stock Common Stock 225235 I By Simpson Family Trust Series B Convertible Preferred Stock Common Stock 71522 I By Simpson Family Trust Series B Convertible Preferred Stock Common Stock 17009 I By GIGL Investments, L.P. Series B Convertible Preferred Stock Common Stock 83268 I By Foxhollow ACLP Series C Convertible Preferred Stock Common Stock 49937 I By Simpson Family Trust Series C Convertible Preferred Stock Common Stock 25463 I By GIGL II Investments, L.P. Series D Convertible Preferred Stock Common Stock 37509 I By Simpson Family Trust Series E Convertible Preferred Stock Common Stock 317458 I By Simpson Family Trust Series E Convertible Preferred Stock Common Stock 47618 I By Rita Lynn Simpson Stock Option (Right to Buy) 22.50 2023-05-01 Common Stock 28888 D Stock Option (Right to Buy) 4.95 2024-12-31 Common Stock 838250 D Warrant (Right to Buy) 12.60 2019-09-02 Common Stock 111110 I By Simpson Family Trust Warrant (Right to Buy) 12.60 2020-01-12 Common Stock 111110 I By Simpson Family Trust Warrant (Right to Buy) 12.60 2020-01-09 Common Stock 33332 I By Rita Lynn Simpson Immediately N/A Converts into common stock on a 1.2252845150-for-one basis. Converts into common stock on a 1.0917708450-for-one basis. Converts into common stock on a 1.4982606300-for-one basis. Converts into common stock on a 1.5317380420-for-one basis. Converts into common stock on a 1.6168809050-for-one basis. Converts into common stock on a one-for-one basis. John B. Simpson disclaims beneficial ownership in GIGL II Investments, L.P., GIGL Investments, L.P. and Foxhollow ACLP, except to the extent of his pecuniary interest therein. 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/ John B. Simpson 2015-01-29