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