5am partners ii llc - see footnote investment history in Viveve medical inc

Filed on 2014-09-25 by 5am Co-Investors Ii Lp SEC CIK 1390376 Form 4

Accession 0001144204-14-057941.txt Sec File: edgar/data/1390376/0001144204-14-057941-index.htm

2014-09-23 5am Partners Ii Llc (CIK 1555952) through See Footnote

Invested in Viveve Medical Inc bought 197987 shares at $0.53 remaining shares owned 262798

Common Stock Viveve Medical Inc Plcsd Transaction code: P Open market or private purchase of securities

f5 includes 36,836 shares issued upon conversion of a convertible promissory note issue by viveve, inc. in aggregate principal and interest amount of $19,522.93 at a conversion price of $0.53 per share.
f2 shares directly beneficially owned by 5am co-investors ii, l.p.
f3 5am partners ii, llc is the general partner of 5am ventures ii, l.p. and 5am co-investors ii, l.p. and may be deemed to have sole voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. dr. john diekman, andrew schwab and dr. scott rocklage, the managing members of 5am partners ii, llc, and mark colella, an assignee of 5am partners ii, llc, may be deemed to have shared voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. each of 5am partners ii, llc, dr. diekman, mr. schwab, dr. rocklage and mr. colella disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.


Filed on 2014-09-25 by 5am Co-Investors Ii Lp SEC CIK 1390376 Form 4

Accession 0001144204-14-057941.txt Sec File: edgar/data/1390376/0001144204-14-057941-index.htm

2014-09-23 5am Partners Ii Llc (CIK 1555952) through See Footnote

Invested in Viveve Medical Inc bought 5017677 shares at $0.53 remaining shares owned 6660205

Common Stock Viveve Medical Inc Plcsd Transaction code: P Open market or private purchase of securities

f4 includes 933,544 shares issued upon conversion of a convertible promissory note issued by viveve, inc. in aggregate principal and interest amount of $494,778.44 at a conversion price of $0.53 per share.
f1 shares directly beneficially owned by 5am ventures ii, l.p.
f3 5am partners ii, llc is the general partner of 5am ventures ii, l.p. and 5am co-investors ii, l.p. and may be deemed to have sole voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. dr. john diekman, andrew schwab and dr. scott rocklage, the managing members of 5am partners ii, llc, and mark colella, an assignee of 5am partners ii, llc, may be deemed to have shared voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. each of 5am partners ii, llc, dr. diekman, mr. schwab, dr. rocklage and mr. colella disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.


Filed on 2014-09-25 by 5am Co-Investors Ii Lp SEC CIK 1390376 Form 3

Accession 0001144204-14-057939.txt Sec File: edgar/data/1390376/0001144204-14-057939-index.htm

2014-09-23 5am Partners Ii Llc (CIK 1555952) through See Footnote

Invested in Viveve Medical Inc remaining shares owned 64811

Common Stock Viveve Medical Inc Plcsd

f2 5am partners ii, llc is the general partner of 5am ventures ii, l.p. and 5am co-investors ii, l.p. and may be deemed to have sole voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. dr. john diekman, andrew schwab and dr. scott rocklage, the managing members of 5am partners ii, llc, and mark colella, an assignee of 5am partners ii, llc, may be deemed to have shared voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. each of 5am partners ii, llc, dr. diekman, mr. schwab, dr. rocklage and mr. colella disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.
f3 directly beneficially owned by 5am co-investors ii, l.p.


Filed on 2014-09-25 by 5am Co-Investors Ii Lp SEC CIK 1390376 Form 3

Accession 0001144204-14-057939.txt Sec File: edgar/data/1390376/0001144204-14-057939-index.htm

2014-09-23 5am Partners Ii Llc (CIK 1555952) through See Footnote

Invested in Viveve Medical Inc remaining shares owned 1642528

Common Stock Viveve Medical Inc Plcsd

f1 directly beneficially owned by 5am ventures ii, l.p.
f2 5am partners ii, llc is the general partner of 5am ventures ii, l.p. and 5am co-investors ii, l.p. and may be deemed to have sole voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. dr. john diekman, andrew schwab and dr. scott rocklage, the managing members of 5am partners ii, llc, and mark colella, an assignee of 5am partners ii, llc, may be deemed to have shared voting and investment power over the shares beneficially owned by 5am ventures ii, l.p. and 5am co-investors ii, l.p. each of 5am partners ii, llc, dr. diekman, mr. schwab, dr. rocklage and mr. colella disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.