0001144204-19-023624.txt : 20190503
0001144204-19-023624.hdr.sgml : 20190503
20190503160329
ACCESSION NUMBER: 0001144204-19-023624
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190425
FILED AS OF DATE: 20190503
DATE AS OF CHANGE: 20190503
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nantahala Capital Management, LLC
CENTRAL INDEX KEY: 0001472322
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11388
FILM NUMBER: 19796072
BUSINESS ADDRESS:
STREET 1: 19 OLD KINGS HIGHWAY S
STREET 2: SUITE 200
CITY: DARIEN
STATE: CT
ZIP: 06820
BUSINESS PHONE: 203-404-1172
MAIL ADDRESS:
STREET 1: 19 OLD KINGS HIGHWAY S
STREET 2: SUITE 200
CITY: DARIEN
STATE: CT
ZIP: 06820
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: VIVEVE MEDICAL, INC.
CENTRAL INDEX KEY: 0000879682
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 043153858
STATE OF INCORPORATION: B0
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 345 INVERNESS DRIVE SOUTH
STREET 2: BUILDING B, SUITE 250
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
BUSINESS PHONE: 4085301900
MAIL ADDRESS:
STREET 1: 345 INVERNESS DRIVE SOUTH
STREET 2: BUILDING B, SUITE 250
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
FORMER COMPANY:
FORMER CONFORMED NAME: PLC SYSTEMS INC
DATE OF NAME CHANGE: 19930328
3
1
tv520627_3.xml
OWNERSHIP DOCUMENT
X0206
3
2019-04-25
0
0000879682
VIVEVE MEDICAL, INC.
NONE
0001472322
Nantahala Capital Management, LLC
19 OLD KINGS HIGHWAY S
SUITE 200
DARIEN
CT
06820
0
0
1
0
Common Stock
6581465
I
Please see footnotes below.
Nantahala Capital Management, LLC ("NCM") may be deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser.
Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM and Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein.
/s/ Paul E. Rehm
2019-05-03