SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
DUNBAR SCOTT

(Last) (First) (Middle)
13170 TELFAIR AVENUE

(Street)
SYLMAR CA 93142

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/30/2021
3. Issuer Name and Ticker or Trading Symbol
SECOND SIGHT MEDICAL PRODUCTS INC [ EYES ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Acting CEO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 2,383 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants 03/06/2017 03/14/2024 Common Stock 935 11.76 D
Stock Options 03/01/2013 03/01/2022 Common Stock 775(1) 40 D
Stock Options 04/01/2015 04/01/2024 Common Stock 937(1) 40 D
Stock Options 09/26/2015 09/26/2024 Common Stock 5,305(1) 72 D
Stock Options 03/25/2016 03/25/2025 Common Stock 625(1) 104.72 D
Stock Options 01/21/2017 01/21/2026 Common Stock 1,151(1) 32.8 D
Stock Options 01/18/2018 01/18/2027 Common Stock 2,500(1) 13.84 D
Stock Options 04/02/2018 01/02/2028 Common Stock 2,500(2) 16.08 D
Stock Options 02/23/2019 01/23/2029 Common Stock 4,100(3) 6.52 D
Stock Options 03/12/2020 02/12/2030 Common Stock 4,125(3) 5.98 D
Explanation of Responses:
1. Options are fully vested and exercisable
2. The stock options have a 10-year term and vest over four years from the grant date in equal quarterly installments, subject to continuous employment, such that the total number of shares shall be fully vested on the four-year anniversary of the transaction date.
3. The stock options have a 10-year term and vest over four years from the grant date in equal monthly installments, subject to continuous employment, such that the total number of shares shall be fully vested on the four-year anniversary of the transaction date.
Remarks:
/s/ Scott Dunbar 04/08/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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