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Gregg Williams boosts Vivani (NASDAQ: VANI) stake with $1.48 share purchase

Filing Impact
(Very High)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

Vivani Medical director and 10% owner Gregg Williams reported buying 1,351,351 shares of Vivani common stock in a private sale on January 27, 2026. The purchase price was $1.48 per share, matching the last reported Nasdaq sale price on January 23, 2026, for gross proceeds of $1,999,999.48.

After this transaction, Williams beneficially owns 32,714,660 shares directly and through related entities. These include 4,799,200 shares in his own name, 25,789,708 shares held by the Gregg G. Williams 2006 Trust, and additional holdings through several Williams family investment entities over which he has voting and dispositive power.

Positive

  • None.

Negative

  • None.
Insider Williams Gregg
Role Director, 10% Owner
Bought 1,351,351 shs ($2.00M)
Type Security Shares Price Value
Purchase Common Stock 1,351,351 $1.48 $2.00M
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 27,915,460 shares (Indirect, See footnote); Common Stock — 4,799,200 shares (Direct)
Footnotes (1)
  1. The reporting person purchased 1,351,351 shares of the Issuer's common stock in a private sale transaction as disclosed in the Share Purchase Agreement dated as of January 25, 2026 at a price of $1.48 per share, which was the last reported sale price of the Issuer's common stock on the Nasdaq on January 23, 2026 (two days immediately prior to January 25, 2026). The gross proceeds from this private sale transaction were $1,999,999.48. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in the transaction set forth in this footnote. The reporting person owns 32,714,660 shares directly and/or indirectly as follows: (i) 4,799,200 shares of common stock owned by the reporting person, (ii) 25,789,708 shares of common stock owned by Gregg G. Williams 2006 Trust, (iii) 1,212,856 shares of common stock owned by Williams International Co. LLC, (iv) 181,587 shares of common stock owned by Sam Williams Family Investments LLC, and (v) 731,309 shares of common stock owned by Sam B. Williams 1995 Generation-Skipping Trust. Gregg Williams has voting and dispositive power over all of these shares.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Williams Gregg
(Last) (First) (Middle)
C/O VIVANI MEDICAL, INC.
1350 S. LOOP ROAD
(Street)
ALAMEDA CA 94502
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Vivani Medical, Inc. [ VANI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
01/27/2026
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/27/2026 P(1) 1,351,351 A $1.48 27,915,460 I See footnote(2)
Common Stock 4,799,200 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The reporting person purchased 1,351,351 shares of the Issuer's common stock in a private sale transaction as disclosed in the Share Purchase Agreement dated as of January 25, 2026 at a price of $1.48 per share, which was the last reported sale price of the Issuer's common stock on the Nasdaq on January 23, 2026 (two days immediately prior to January 25, 2026). The gross proceeds from this private sale transaction were $1,999,999.48. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased in the transaction set forth in this footnote.
2. The reporting person owns 32,714,660 shares directly and/or indirectly as follows: (i) 4,799,200 shares of common stock owned by the reporting person, (ii) 25,789,708 shares of common stock owned by Gregg G. Williams 2006 Trust, (iii) 1,212,856 shares of common stock owned by Williams International Co. LLC, (iv) 181,587 shares of common stock owned by Sam Williams Family Investments LLC, and (v) 731,309 shares of common stock owned by Sam B. Williams 1995 Generation-Skipping Trust. Gregg Williams has voting and dispositive power over all of these shares.
/s/ Anthony Baldor, Attorney-in-fact 01/28/2026
** 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 4 (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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

How many Vivani Medical (VANI) shares did Gregg Williams purchase?

Gregg Williams purchased 1,351,351 shares of Vivani Medical common stock. The shares were acquired in a private sale at $1.48 per share, as referenced in a Share Purchase Agreement dated January 25, 2026.

What price did Gregg Williams pay per Vivani Medical (VANI) share?

He paid $1.48 per share for the Vivani Medical common stock. This price matched the last reported sale price on Nasdaq on January 23, 2026, two days before the January 25, 2026 Share Purchase Agreement.

What were the total proceeds from Gregg Williams’ Vivani (VANI) share purchase?

The private sale transaction generated $1,999,999.48 in gross proceeds. This figure is based on 1,351,351 Vivani Medical common shares purchased at $1.48 per share, as disclosed in the Form 4 footnotes.

How many Vivani Medical (VANI) shares does Gregg Williams beneficially own after this transaction?

After the reported transaction, Gregg Williams beneficially owns 32,714,660 shares of Vivani Medical. This total includes shares held directly and through several trusts and LLCs over which he has voting and dispositive power.

How are Gregg Williams’ Vivani Medical (VANI) holdings structured among entities?

His holdings include 4,799,200 shares directly, 25,789,708 shares in the Gregg G. Williams 2006 Trust, and additional shares via Williams International Co. LLC, Sam Williams Family Investments LLC, and the Sam B. Williams 1995 Generation-Skipping Trust.

What is Gregg Williams’ relationship to Vivani Medical (VANI)?

Gregg Williams is a director and a 10% owner of Vivani Medical. His Form 4 filing reflects this insider status and details both his direct share ownership and positions held through family trusts and related investment entities.