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Ferguson Matthew – ‘4’ for 2/4/15 re: Avinger Inc.

On:  Wednesday, 2/4/15, at 5:14pm ET   ·   For:  2/4/15   ·   As:  Officer   ·   Accession #:  1104659-15-6708   ·   File #:  1-36817

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/04/15  Ferguson Matthew                  4          Officer     1:11K  Avinger Inc.                      Toppan Merrill/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     11K 
                Securities by an Insider -- a4.xml/3.6                           




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED 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).
1. Name and Address of Reporting Person*
Ferguson Matthew

(Last)(First)(Middle)
C/O AVINGER, INC. 400 CHESAPEAKE DRIVE

(Street)
REDWOOD CITYCA94063

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Avinger Inc [ AVGR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
Chief Business Officer and CFO
3. Date of Earliest Transaction (Month/Day/Year)
2/4/15
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock 2/4/15 C 13,791A (1)13,791D
Common Stock 2/4/15 X 1,190A$12.614,981D
Common Stock 2/4/15 S (2) 1,154D$1313,827D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Series E Convertible Preferred Stock (1) 2/4/15 C 3,968 (1) (1)Common Stock3,968 (1)$0.000D
Series E Convertible Preferred Stock (1) 2/4/15 C 9,823 (1) (1)Common Stock9,823 (1)$0.000D
Warrant (Right to Buy)$12.6 2/4/15 X 1,190 10/29/13 10/29/18Common Stock1,190$0.000D
Explanation of Responses:
(1)  The Series E Convertible Preferred Stock converted into Common Stock on a 1 for 1 basis and had no expiration date.
(2)  On February 4, 2015, the reporting person exercised a warrant to purchase 1,190 share of Avinger, Inc. Common Stock for $12.60 per share. The reporting person paid the exercise price on a cashless basis, resulting in Avinger, Inc.'s withholding of 1,154 of the warrant shares to pay the price and issuing to the reporting person the remaining 36 shares. Avinger, Inc. also paid $7.75 to the reporting person in lieu of a fractional share.
/s/ Matthew B. Ferguson 2/4/15
** Signature of Reporting PersonDate
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.
____________
Transaction Codes:
    C    Conversion of derivative security.
    S    Open market or private sale of non-derivative or derivative security.
    X    Exercise of in-the-money or at-the-money derivative security.

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