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
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person*
| C/O INVIVO THERAPEUTICS HOLDINGS CORP. |
| ONE KENDALL SQUARE, SUITE B14402 |
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
01/14/2019
|
3. Issuer Name and Ticker or Trading Symbol
INVIVO THERAPEUTICS HOLDINGS CORP.
[ NVIV ]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
|
CFO and Treasurer
|
|
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)
|
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 |
| Explanation of Responses: |
| Remarks: |
|
| No securities are beneficially owned. |
|
/s/ Richard Christopher |
01/15/2019 |
|
** 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. |
| 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. |
Power of Attorney
I, Richard Christopher, the undersigned, hereby constitute and appoint Richard
Toselli, Heather Hamel, Rosemary Reilly, and Taylor Beech, and each of them
individually, as my true and lawful attorney-in-fact to:
1. Complete and execute on my behalf, as a director of InVivo Therapeutics
Holdings Corp., a Nevada corporation (the "Company"), Forms 3, 4, and 5
required to be filed by me under Section 16(a) of the Securities Exchange
Act of 1934, as amended (the "Exchange Act") and the rules and regulations
thereunder;
2. Do and perform any and all acts for and on my behalf which may be necessary
or desirable to complete and execute any such Forms 3, 4 and 5 and any
amendment or amendments thereto, and timely file such forms with the U.S.
Securities and Exchange Commission (the "SEC") and any stock exchange or
similar authority, including without limitation the filing of a Form ID or
any other application materials to enable me to gain or maintain access to
the Electronic Data Gathering, Analysis and Retrieval system of the SEC; and
3. Seek or obtain, as my representative and on my behalf, information regarding
transactions in the Company's securities from any third party, including
brokers, employee benefit plan administrators and trustees, and I hereby
authorize any such person to release any such information to such
attorney-in-fact and approve and ratify any such release of information; and
4. Take any other action of any type whatsoever in connection with the
foregoing, which in the opinion of such attorney-in-fact may be of benefit
to, in the best interest of, or legally required of me, it being understood
that the documents executed by such attorney-in-fact on my behalf pursuant
to this Power of Attorney shall be in such form and shall contain such
information as such attorney-in-fact may approve in such attorney-in-fact's
discretion.
I hereby grant to each of such attorneys-in-fact full power and authority to do
and perform all and every act which is necessary, proper or desirable to be done
in the exercise of any of the rights, powers and authority granted in this Power
of Attorney, with full power of substitution and revocation, and I ratify and
confirm every act that such attorney-in-fact lawfully performs or causes to be
done by virtue of this Power of Attorney and the powers and authority granted
herein.
I acknowledge that the attorneys-in-fact appointed in this Power of Attorney, in
serving in such capacity at my request, are not assuming or relieving, and the
Company is not assuming or relieving, any of my responsibilities to comply with
Section 16 of the Exchange Act or the rules or regulations thereunder. I
acknowledge that neither the Company nor the foregoing attorneys-in-fact assume
(i) any liability for my responsibility to comply with the requirements of the
Exchange Act, (ii) any liability of mine for any failure to comply with such
requirements, or (iii) any obligation or liability of mine for profit
disgorgement under Section 16(b) of the Exchange Act.
This Power of Attorney shall supersede and revoke any Power of Attorney
previously filed in my name and on my behalf.
This Power of Attorney shall remain in full force and effect until I am no
longer required to file Forms 3, 4 and 5 with respect to my holdings or
transactions in securities issued by the Company, unless I earlier revoke this
Power of Attorney in a signed writing delivered to the foregoing
attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney as of
January 14, 2019.
/s/ Richard Christopher
-------------------------------
Print Name: Richard Christopher
-------------------
