Report of Proposed Sale of Securities (144)
October 02 2018 - 12:19PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
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OMB
APPROVAL
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OMB
Number: 3235-0101
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Expires: June 30,
2020
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Estimated
average burden hours per response 1.00
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SEC
USE ONLY
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DOCUMENT
SEQUENCE NO.
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CUSIP
NUMBER
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ATTENTION
:
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Transmit
for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale
directly with a market maker
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WORK
LOCATION
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1
(a)
NAME OF ISSUER
(
Please type or print
)
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(b)
IRS IDENT. NO.
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(c)
S.E.C. FILE NO.
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ViewRay, Inc. [VRAY]
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42-1777485
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001-37725
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1
(d)
ADDRESS OF ISSUER
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STREET
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CITY
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STATE
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ZIP CODE
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(e)
TELEPHONE NO.
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Area Code
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Number
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2 Thermo Fisher Way
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Oakwood Village
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OH
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44146
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440
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703-3210
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2
(a)
NAME OF PERSON FOR WHOSE ACCOUNT
THE SECURITIES ARE TO BE SOLD
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(b)
RELATIONSHIP TO ISSUER
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(c)
ADDRESS STREET
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CITY
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STATE
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ZIP
CODE
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Chris
Raanes
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Former Officer
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c/o
Viewray, Inc., 2 Thermo Fisher Way
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Oakwood Village
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OH
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44146
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INSTRUCTION:
The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
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3
(a)
Title of the Class of Securities To Be Sold
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(b)
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring
the Securities
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SEC
USE
ONLY
Broker-Dealer
File
Number
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(c)
Number of Shares or Other Units To Be Sold
(
See instr. 3(c)
)
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(d)
Aggregate Market Value
(
See instr. 3(d)
)
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(e)
Number of Shares or Other Units Outstanding
(
See instr. 3(e)
)
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(f)
Approximate Date of Sale
(
See instr. 3(f)
)
(MO. DAY YR.)
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(g)
Name of Each
Securities
Exchange
(
See instr. 3(g)
)
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Common
Stock
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RBC
Capital Markets
Suite
1200
Two
Embarcadero
Center
San Francisco CA 94111
United States
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200,000
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$1,956,000 based on
closing price on 10/01/2018 of $9.78
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75,206,716 as of 07/27/2018
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10/2/2018
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Nasdaq
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INSTRUCTIONS:
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1.
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(a) Name
of issuer
(b) Issuer’s
I.R.S. Identification Number
(c) Issuer’s
S.E.C. file number, if any
(d) Issuer’s
address, including zip code
(e) Issuer’s
telephone number, including area code
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3.
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(a) Title
of the class of securities to be sold
(b) Name
and address of each broker through whom the securities are intended to be sold
(c) Number
of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d) Aggregate
market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice
(e) Number
of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown
by the most recent report or statement published by the issuer
(f) Approximate
date on which the securities are to be sold
(g) Name
of each securities exchange, if any, on which the securities are intended to be sold
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2
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(a) Name
of person for whose account the securities are to be sold
(b) Such
person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of
any of the foregoing)
(c) Such
person’s address, including zip code
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Potential
persons who are to respond to the collection of information contained in this form are not required to respond unless the
form displays a currently valid OMB control number.
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TABLE
I — SECURITIES TO BE SOLD
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Furnish
the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other
consideration therefor:
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Title
of the Class
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Date
you Acquired
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Nature
of Acquisition Transaction
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Name
of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount
of
Securities Acquired
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Date
of Payment
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Nature
of Payment
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Common
Stock
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10/2/2018
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Stock
Option Exercise
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Issuer
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200,000
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10/2/2018
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Cashless exercise
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INSTRUCTIONS:
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If
the securities were purchased and full payment therefor was not made in cash at the time
of purchase, explain in the table or in a note thereto the nature of the consideration
given. If the consideration consisted of any note or other obligation, or if payment
was made in installments describe the arrangement and state when the note or other obligation
was discharged in full or the last installment paid.
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TABLE
II — SECURITIES SOLD DURING THE PAST 3 MONTHS
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Furnish
the following information as to all securities of the issuer sold during the past 3 months by the person for whose account
the securities are to be sold.
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Name
and Address of Seller
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Title
of Securities Sold
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Date
of Sale
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Amount
of Securities Sold
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Gross
Proceeds
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Chris
Raanes
c/o Viewray,
Inc.
2 Thermo
Fisher Way
Oakwood Village,
OH 44146
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Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
Common
Stock
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09/21/2018
09/20/2018
09/14/2018
09/13/2018
09/07/2018
09/06/2018
09/05/2018
09/04/2018
08/29/2018
08/27/2018
08/20/2018
08/15/2018
08/14/2018
08/10/2018
08/09/2018
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29,188
25,000
75,000
25,000
1,185
24,315
50,000
19,035
100,000
100,000
100,000
18,066
81,934
14,896
85,104
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$288,564.00
$245,000.75
$749,710.29
$247,540.40
$11,738.97
$243,733.70
$495,483.84
$190,353.00
$1,009,879.35
$988,346.46
$997,576.34
$179,790.70
$812,168.61
$146,725.60
$841,523.70
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REMARKS:
INSTRUCTIONS
:
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See the definition of “person” in paragraph
(a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be
sold but also as to all other persons included in that definition. In addition, information shall be given as to
sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of
the person filing this notice.
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ATTENTION
:
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The person for whose account the securities to which
this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information
in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly
disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1
under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instructions given, that
person makes such representation as of the plan adoption or instruction date.
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10/2/2018
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Date
of Notice
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Date
of Plan Adoption or Giving of Instruction, if Relying on Rule 10b5-1.
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/s/ Chris A. Raanes
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(Signature)
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The
notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be
manually signed. Any copies not manually signed shall bear typed or printed signatures.
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ATTENTION: Intentional
misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
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