Filing Details
- Accession Number:
- 0001628280-23-008798
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-21 18:22:57
- Reporting Period:
- 2022-10-24
- Accepted Time:
- 2023-03-21 18:22:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1597313 | Viewray Inc. | VRAY | Electromedical & Electrotherapeutic Apparatus (3845) | 421777485 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1637089 | F. James Dempsey | C/O Viewray, Inc. 1099 18Th Street, Suite 3000 Denver CO 80202 | Chief Scientific Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2022-10-24 | 37,681 | $4.30 | 642,165 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2023-03-01 | 86,405 | $0.00 | 728,570 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2023-03-01 | 19,630 | $4.12 | 708,940 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-03-01 | 14,872 | $4.12 | 694,068 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-03-02 | 39,700 | $4.12 | 654,368 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2023-03-03 | 42,000 | $0.75 | 696,368 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-03-03 | 42,000 | $4.13 | 654,368 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-03-07 | 125,000 | $0.75 | 779,368 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | Direct | |
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Units | Acquisiton | 2023-03-01 | 86,405 | $0.00 | 86,405 | $0.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2023-03-03 | 42,000 | $0.75 | 42,000 | $0.75 |
| Common Stock | Stock Option (right to buy) | Disposition | 2023-03-07 | 125,000 | $0.75 | 125,000 | $0.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 86,405 | No | 4 | A | Direct | ||
| 292,305 | 2024-04-11 | No | 4 | M | Direct | |
| 167,305 | 2024-04-11 | No | 4 | M | Direct |
Footnotes
- Payment of tax liability by withholding securities incident to vesting of restricted stock units.
- The reported securities are RSUs that entitle the Reporting Person to receive one share of Common Stock per RSU upon vesting. A total of one-third of the shares subject to this grant become vested on each of the first three anniversaries of March 1, 2023, subject to the Reporting Person remaining a service provider through each such vesting date.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.090 to $4.145, inclusive. The reporting person undertakes to provide ViewRay, Inc., any security holder of ViewRay, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- Includes 774,426 shares granted as RSUs. As of the transaction date, 294,131 of the RSUs have vested.
- These performance share awards were issued at a 100% target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not been vested and released at the end of the 3-year period will be cancelled.
- All of the shares subject to this option are fully vested and exercisable as of the date of exercise.
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