IPO registrations (S-1, F-1) · Registrants
VIVEVE MEDICAL, INC.
- SEC CIK
- 879682 · filings on EDGAR ↗
- Former names
- PLC SYSTEMS INC (1996–2014)
- Registration
- Form S-1, first filed 2014-11-21, last 2022-12-06; 11 initial registrations, 16 amendments
- Outcome
- Final prospectus filed 2016-06-15; declared effective 2015-04-16; withdrawal requested 2020-06-18
- Industry (SIC)
- Electromedical & Electrotherapeutic Apparatus 3845
- Incorporated in
- DE
- Business address
- 345 INVERNESS DRIVE SOUTH, BUILDING B, SUITE 250, Englewood, CO 80112
- EIN
- 04-3153858
- EDGAR entity type
- operating
- Insiders and CEO pay
- VIVEVE MEDICAL, INC. on the corporate pages
On this site
- Form D issuer: VIVEVE MEDICAL, INC. EXACT (CIK (EXACT))
- SEC filer: PLC SYSTEMS INC EXACT (CIK (EXACT))
- Person page: John D Diekman Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
- Person page: Karen L Zaderej Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 62
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2014-11-21 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-14-021265 ↗ |
| 2015-01-26 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-15-001128 ↗ |
| 2015-02-18 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-15-002925 ↗ |
| 2015-03-17 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-15-005310 ↗ |
| 2015-04-15 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-15-007375 ↗ |
| 2015-04-16 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-15-000902 ↗ |
| 2015-06-16 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-15-012338 ↗ |
| 2015-06-26 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-15-001752 ↗ |
| 2015-12-16 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-15-022328 ↗ |
| 2015-12-29 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-15-003426 ↗ |
| 2016-04-19 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-16-029627 ↗ |
| 2016-05-04 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-16-004528 ↗ |
| 2016-05-04 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-16-004578 ↗ |
| 2016-05-19 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-16-032378 ↗ |
| 2016-05-24 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-16-032684 ↗ |
| 2016-06-09 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-16-033551 ↗ |
| 2016-06-13 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-16-004890 ↗ |
| 2016-06-14 | S-1MEF | S-1MEF (added securities) | VIVEVE MEDICAL, INC. | 0001437749-16-033754 ↗ |
| 2016-06-15 | 424B4 | 424B4 (final prospectus) | VIVEVE MEDICAL, INC. | 0001437749-16-033813 ↗ |
| 2016-10-07 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-16-005925 ↗ |
| 2017-02-23 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-17-003007 ↗ |
| 2017-03-13 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-17-004342 ↗ |
| 2017-03-16 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-17-000575 ↗ |
| 2017-03-17 | S-1MEF | S-1MEF (added securities) | VIVEVE MEDICAL, INC. | 0001437749-17-004763 ↗ |
| 2017-03-17 | 424B4 | 424B4 (final prospectus) | VIVEVE MEDICAL, INC. | 0001437749-17-004772 ↗ |
| 2017-11-28 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-17-003072 ↗ |
| 2017-12-27 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-18-000006 ↗ |
| 2017-12-27 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-18-000007 ↗ |
| 2017-12-27 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-18-000009 ↗ |
| 2019-02-04 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-19-000067 ↗ |
| 2019-09-05 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-19-017952 ↗ |
| 2019-10-11 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-19-019929 ↗ |
| 2019-11-13 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-19-022554 ↗ |
| 2019-11-21 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-19-023313 ↗ |
| 2019-11-21 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-19-023373 ↗ |
| 2019-11-22 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-19-002644 ↗ |
| 2019-11-25 | 424B4 | 424B4 (final prospectus) | VIVEVE MEDICAL, INC. | 0001437749-19-023500 ↗ |
| 2020-06-18 | RW | RW (withdrawal request) | VIVEVE MEDICAL, INC. | 0001437749-20-013434 ↗ |
| 2020-06-18 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-20-013435 ↗ |
| 2020-06-18 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-20-013436 ↗ |
| 2020-07-06 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-20-001650 ↗ |
| 2020-07-06 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-20-001651 ↗ |
| 2020-12-18 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-20-025637 ↗ |
| 2020-12-31 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-20-026226 ↗ |
| 2021-01-12 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-21-000510 ↗ |
| 2021-01-13 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-21-000607 ↗ |
| 2021-01-13 | S-1MEF | S-1MEF (added securities) | VIVEVE MEDICAL, INC. | 0001437749-21-000684 ↗ |
| 2021-01-13 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-21-000140 ↗ |
| 2021-01-14 | 424B4 | 424B4 (final prospectus) | VIVEVE MEDICAL, INC. | 0001437749-21-000737 ↗ |
| 2021-03-31 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-21-007869 ↗ |
| 2021-04-19 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-21-001487 ↗ |
| 2022-09-28 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-22-002839 ↗ |
| 2022-11-10 | S-1 | S-1 (registration) | VIVEVE MEDICAL, INC. | 0001437749-22-026931 ↗ |
| 2022-12-06 | S-1/A | S-1/A (amendment) | VIVEVE MEDICAL, INC. | 0001437749-22-028562 ↗ |
| 2023-01-27 | RW | RW (withdrawal request) | VIVEVE MEDICAL, INC. | 0001437749-23-001938 ↗ |
| 2023-01-30 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-23-000209 ↗ |
| 2023-01-30 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-23-000210 ↗ |
| 2023-01-30 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-23-000211 ↗ |
| 2023-01-30 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-23-000213 ↗ |
| 2023-01-30 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-23-000214 ↗ |
| 2023-01-30 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-23-000215 ↗ |
| 2023-01-30 | EFFECT | EFFECT (declared effective) | VIVEVE MEDICAL, INC. | 9999999995-23-000216 ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| DUNN KEVIN J | Director | 7 | 2006–2012 | ||
| HOLMES BENJAMIN L | Director | 10 | 2006–2013 | ||
| Luppi Kenneth J | Officer | VP, Operations | 4 | 2006–2009 | |
| MAGAZINE ALAN H | Director | 5 | 2006–2009 | ||
| NORTON H B BRENT | Director | 8 | 2006–2013 | ||
| PENDERGAST EDWARD H | Director | 8 | 2006–2012 | ||
| Puglisi Vincent | Officer | Managing Direction - Int'l; Managing Director - Int'l; Managing Director, Int'l; Managing Director-Int'l; Managing Dir - International | 8 | 2006–2013 | |
| RUDKO ROBERT I | Director,Officer | Chief Scientific Officer | 6 | 2006–2009 | |
| TAUSCHER MARK R | Director,Officer | Presidence and CEO; President and CEO; President & CEO | 11 | 2006–2013 | |
| THOMASCH JAMES G | Officer | CFO & Sr. Vice President; Senior Vice President & CFO | 4 | 2006–2009 | |
| KAYNE FRED | Other | 1 | 2008 | ||
| BRENNER LOUIS MD | Director | 2 | 2009 | ||
| Mann Gregory W. | Director,Officer; Officer | Chief Financial Officer | 3 | 2012–2013 | |
| Kyle Albert | Director | 1 | 2013 | ||
| 5AM CO-INVESTORS II LP | TenPercentOwner | 3 | 2014–2015 | ||
| 5AM Partners II, LLC | TenPercentOwner | 3 | 2014–2015 | ||
| 5AM Ventures II LP | TenPercentOwner | 3 | 2014–2015 | ||
| Colella Mark Samuel | Director,TenPercentOwner | 5 | 2014–2015 | ||
| DIEKMAN JOHN D | TenPercentOwner | 3 | 2014–2015 | person page Fuzzy | |
| Durbin Scott | Director,Officer; Officer | Chief Executive Officer; Chief Financial Officer | 19 | 2014–2023 | |
| JANNEY DANIEL | Director; Director,TenPercentOwner; TenPercentOwner | 24 | 2014–2019 | ||
| ROCKLAGE SCOTT M | TenPercentOwner | 3 | 2014–2015 | ||
| Scheller Patricia | Director,Officer | CEO and Director; Chief Executive Officer | 17 | 2014–2018 | |
| Schwab Andrew J. | TenPercentOwner | 3 | 2014–2015 | ||
| Alta Bioequities, L.P. | TenPercentOwner | 3 | 2014–2015 | ||
| Alta Bioequities Management, LLC | Director,TenPercentOwner; TenPercentOwner | 3 | 2014–2015 | ||
| Simpson Carl | Director | 3 | 2014–2015 | ||
| Robbins Jim B | Officer | SVP, Finance & Administration; Vice President of Finance; VP, Finance & Administration; VP of Finance & Administration | 16 | 2014–2023 | |
| Smith Brigitte | Director; Director,TenPercentOwner | 6 | 2014–2016 | ||
| GBS Bioventures III A/C | TenPercentOwner | 2 | 2014 | ||
| GBS Venture Partners Pty, Ltd | TenPercentOwner | 2 | 2014 | ||
| Atkinson James G. | Director; Officer | CBO & President | 14 | 2015–2019 | |
| STONEPINE CAPITAL, L.P. | Director,TenPercentOwner; TenPercentOwner | 4 | 2015–2017 | ||
| Plexico Jon M | Director,TenPercentOwner; TenPercentOwner | 17 | 2016–2018 | ||
| BUSH LORI H | Director | 10 | 2016–2018 | ||
| JORN DEBORA | Director | 24 | 2016–2023 | ||
| Morris Arlene | Director | 15 | 2016–2023 | ||
| LYNCH TIMOTHY P | Director,TenPercentOwner; TenPercentOwner | 2 | 2016–2017 | ||
| Stonepine Capital Management, LLC | Director,TenPercentOwner | 2 | 2016–2017 | ||
| Basta Steven L | Director | 12 | 2018–2023 | ||
| Zaderej Karen L. | Director | 8 | 2018–2019 | person page Fuzzy | |
| Nantahala Capital Management, LLC | TenPercentOwner | 2 | 2019 | ||
| Harkey Wilmot B. | TenPercentOwner | 1 | 2019 | ||
| Mack Daniel | TenPercentOwner | 1 | 2019 | ||
| GOLDMAN SACHS & CO. LLC | Other; TenPercentOwner | 8 | 2019–2020 | ||
| GOLDMAN SACHS GROUP INC | Other; TenPercentOwner | 8 | 2019–2020 | ||
| Presnell Sharon Collins | Director | 6 | 2020–2023 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2022-10-27 | VIVEVE MEDICAL, INC. | Biotechnology | $14,675 | $14,675 | 1 | 1 |
| 2020-06-18 | VIVEVE MEDICAL, INC. | Biotechnology | $10,000,000 | $341,250 | 1 | 1 |
| 2020-05-04 | VIVEVE MEDICAL, INC. | Biotechnology | $3,225,875 | $3,225,875 | 9 | 1 |
| 2015-12-03 | VIVEVE MEDICAL, INC. | Other Health Care | $6,001,369 | $6,001,369 | 12 | 1 |
| 2015-05-27 | VIVEVE MEDICAL, INC. | Other Health Care | $12,000,000 | $12,000,000 | 20 | 1 |
| 2014-10-08 | VIVEVE MEDICAL, INC. | Other Health Care | $2,411,081 | $2,411,081 | 23 | 1 |
| 2014-06-10 | PLC SYSTEMS INC | Other Technology | $750,000 | $500,000 | 1 | 1 |
| 2014-06-04 | PLC SYSTEMS INC | Other Technology | $6,000,000 | $6,000,000 | 28 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.