Sec Form 4 Filing - Serafino Domenic @ Venus Concept Inc. - 2019-11-07

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Serafino Domenic
2. Issuer Name and Ticker or Trading Symbol
Venus Concept Inc. [ VERO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
C/O VENUS CONCEPT INC., 235 YORKLAND BLVD., SUITE 900
3. Date of Earliest Transaction (MM/DD/YY)
11/07/2019
(Street)
TORONTO, A6M2J 4YB
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 11/07/2019 A 447,755 A 447,755 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Employee Stock Options (right to buy) $ 0.45 11/07/2019 A 311,003 ( 2 ) 03/31/2021 Common Stock 311,003 ( 3 ) 311,003 D
Employee Stock Options (right to buy) $ 1.35 11/07/2019 A 293,154 ( 2 ) 09/01/2023 Common Stock 293,154 ( 4 ) 293,154 D
Employee Stock Options (right to buy) $ 3.6 11/07/2019 A 343,717 ( 2 ) 02/05/2025 Common Stock 343,717 ( 5 ) 343,717 D
Employee Stock Options (right to buy) $ 1.35 11/07/2019 A 15,586 ( 2 ) 03/31/2021 Common Stock 15,586 ( 6 ) 15,586 I By Spouse
Employee Stock Options (right to buy) $ 1.35 11/07/2019 A 1,714 ( 2 ) 01/01/2023 Common Stock 1,714 ( 7 ) 1,714 I By Spouse
Employee Stock Options (right to buy) $ 1.35 11/07/2019 A 5,767 ( 2 ) 01/26/2024 Common Stock 5,767 ( 8 ) 5,767 I By Spouse
Employee Stock Options (right to buy) $ 3.6 11/07/2019 A 5,767 ( 2 ) 06/01/2024 Common Stock 5,767 ( 9 ) 5,767 I By Spouse
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Serafino Domenic
C/O VENUS CONCEPT INC.
235 YORKLAND BLVD., SUITE 900
TORONTO, A6M2J 4YB
X Chief Executive Officer
Signatures
/s/ Domenic Di Sisto, attorney-in-fact 11/07/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Received, in connection with the merger of a wholly-owned subsidiary of Restoration Robotics, Inc. with and into Venus Concept Ltd. (the "Merger"), in exchange for 776,400 ordinary shares of Venus Concept Ltd.
( 2 )As of the Transaction Date, these options to acquire Common Stock of the Issuer are fully vested and exercisable.
( 3 )Received, in connection with the Merger, in exchange for an employee stock option to acquire 539,275 Venus Concept Ltd. ordinary shares with an original exercise price of $0.25 per share.
( 4 )Received, in connection with the Merger, in exchange for an employee stock option to acquire 508,325 Venus Concept Ltd. ordinary shares with an original exercise price of $0.75 per share.
( 5 )Received, in connection with the Merger, in exchange for an employee stock option to acquire 596,000 Venus Concept Ltd. ordinary shares with an original exercise price of $2.00 per share.
( 6 )Received, in connection with the Merger, in exchange for an employee stock option to acquire 27,027 Venus Concept Ltd. ordinary shares with an original exercise price of $0.75 per share.
( 7 )Received, in connection with the Merger, in exchange for an employee stock option to acquire 2,973 Venus Concept Ltd. ordinary shares with an original exercise price of $0.75 per share.
( 8 )Received, in connection with the Merger, in exchange for an employee stock option to acquire 10,000 Venus Concept Ltd. ordinary shares with an original exercise price of $0.75 per share.
( 9 )Received, in connection with the Merger, in exchange for an employee stock option to acquire 10,000 Venus Concept Ltd. ordinary shares with an original exercise price of $2.00 per share.

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).

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