# EDGAR Filing Document

**Accession Number:** 0001637089
**File Stem:** 0001628280-23-008796
**Filing Date:** 2023-3
**Character Count:** 7130
**Document Hash:** 724cfd811a42dd67f22a11972d96ac09
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-23-008796.hdr.sgml**: 20230321

**ACCESSION NUMBER**: 0001628280-23-008796

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20220610

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230321

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Dempsey James F.
- **CENTRAL INDEX KEY:** 0001637089

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37725
- **FILM NUMBER:** 23750800

**MAIL ADDRESS:**
- **STREET 1:** C/O VIEWRAY INCORPORATED
- **STREET 2:** 2 THERMO FISHER WAY
- **CITY:** OAKWOOD VILLAGE
- **STATE:** OH
- **ZIP:** 44146
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ViewRay, Inc.
- **CENTRAL INDEX KEY:** 0001597313
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
- **IRS NUMBER:** 421777485
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 2 THERMO FISHER WAY
- **CITY:** OAKWOOD VILLAGE
- **STATE:** OH
- **ZIP:** 44146
- **BUSINESS PHONE:** 440-703-3210

**MAIL ADDRESS:**
- **STREET 1:** 2 THERMO FISHER WAY
- **CITY:** OAKWOOD VILLAGE
- **STATE:** OH
- **ZIP:** 44146

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Mirax Corp
- **DATE OF NAME CHANGE:** 20140116

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] 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**<sup>*</sup><br>Dempsey James F.<br><sub>(Last) (First) (Middle)</sub><br>C/O VIEWRAY, INC.<br>1099 18TH STREET, SUITE 3000<br><sub>(Street)</sub><br>DENVER, CO 80202<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>ViewRay, Inc. [ VRAY ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2022-06-10 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Chief Scientific Officer_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 679826<sup>(1)</sup> | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Stock Option (right to buy) | <sup>(2)</sup> | 2024-04-11 | Common Stock | 334305.0 | $0.75 | D |  |
| Stock Option (right to buy) | <sup>(3)</sup> | 2025-07-23 | Common Stock | 273039.0 | $5.0 | D |  |
| Stock Option (right to buy) | <sup>(4)</sup> | 2027-02-18 | Common Stock | 200000.0 | $5.05 | D |  |
| Stock Option (right to buy) | <sup>(5)</sup> | 2028-04-16 | Common Stock | 110000.0 | $7.09 | D |  |
| Stock Option (right to buy) | <sup>(6)</sup> | 2029-03-01 | Common Stock | 66928.0 | $8.47 | D |  |
| Performance Units | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 51525.0 | <sup>(8)</sup> | D |  |
| Performance Units | <sup>(7)</sup> | <sup>(7)</sup> | Common Stock | 84541.0 | <sup>(8)</sup> | D |  |

---

### Footnotes:

(1) Includes 497,224 shares granted as RSUs. As of the transaction date, 189,463 of the RSUs have vested.

(2) Of which 96,149 shares vest in 48 monthly installments beginning on May 13, 2013, until such shares subject to the option have become fully vested and exercisable. The remaining 238,156 shares will vest 25% on the first anniversary of November 13, 2013 (the grant date), and 1/48th of the total number of shares vest in thirty-six (36) monthly installments thereafter on each monthly anniversary of the grant date, until such shares subject to the option have become fully vested and exercisable.

(3) The shares subject to the option vest in 48 monthly installments on each monthly anniversary of July 23, 2015, until such shares subject to the option have become fully vested and exercisable.

(4) 1/48th of the shares subject to the option shall vest and become exercisable on each monthly anniversary measured from February 18, 2017 (the grant date), such that 100% of the shares subject to the option will be fully vested on the fourth anniversary of the grant date, subject to the Reporting Person remaining a service provider through each such vesting date.

(5) 1/48th of the shares subject to the option shall vest and become exercisable on each monthly anniversary measured from April 16, 2018 (the grant date), such that 100% of the shares subject to the option will be vested on the fourth anniversary of the grant date, subject to the Reporting Person remaining a service provider through each such vesting date.

(6) 1/48th of the shares subject to the option shall vest and become exercisable on each month after March 1, 2019 (the grant date), such that 100% of the shares subject to the option will be vested on the fourth anniversary of the grant date, subject to the reporting person remaining a service provider through each such vesting date.

(7) These performance share awards were issued at a 100% target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not been vested and released at the end of the 3-year period will be cancelled.

(8) Not applicable

**Signature:** /s/ Robert McCormack, Attorney-in-fact  
**Date:** 2023-03-21

### Remarks:

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.**