4//SEC Filing
STERN ALAN 4
Accession 0001179110-10-013558
CIK 0001058828other
Filed
Sep 7, 8:00 PM ET
Accepted
Sep 8, 11:15 AM ET
Size
30.2 KB
Accession
0001179110-10-013558
Insider Transaction Report
Form 4
STERN ALAN
Director
Transactions
- Award
Common Stock Warrant
2010-05-12+211,694→ 211,694 total(indirect: By Trust)Exercise: $0.14Exp: 2011-09-30→ Common Stock (211,694 underlying) - Disposition to Issuer
Series A Preferred Stock Warrant
2010-05-12−13,312→ 0 total(indirect: By Trust)Exercise: $2.64From: 2003-08-28Exp: 2010-09-30→ Series A Preferred Stock (13,312 underlying) - Exercise Out-of-Money
Common Stock
2010-09-02$0.14/sh+101,772$14,248→ 1,290,631 total(indirect: By Trust) - Disposition to Issuer
Common Stock Warrant
2010-05-12−211,694→ 0 total(indirect: By Trust)Exercise: $0.22From: 2003-08-28Exp: 2010-09-30→ Common Stock (211,694 underlying) - Exercise Out-of-Money
Common Stock Warrant
2010-09-02−101,772→ 109,922 total(indirect: By Trust)Exercise: $0.14Exp: 2011-09-30→ Common Stock (101,772 underlying) - Award
Series A Preferred Warrant
2010-05-12+13,312→ 13,312 total(indirect: By Trust)Exercise: $1.68Exp: 2011-09-30→ Series A Preferred Stock (13,312 underlying) - Exercise Out-of-Money
Series A Preferred Warrant
2010-09-02−6,400→ 6,912 total(indirect: By Trust)Exercise: $1.68Exp: 2011-09-30→ Series A Preferred Stock (6,400 underlying) - Exercise Out-of-Money
Series A Preferred Stock
2010-09-02+6,400→ 39,679 total(indirect: By Trust)Exercise: $1.68→ Common Stock (476,148 underlying)
Holdings
- 450,000
Stock Options
Exercise: $0.16Exp: 2016-11-27→ Common Stock (450,000 underlying) - 370,466(indirect: By Trust)
Common Stock Warrant
Exercise: $0.30From: 2003-08-28Exp: 2010-09-30→ Common Stock (370,466 underlying) - 23,296(indirect: By Trust)
Series A Preferred Stock Warrant
Exercise: $3.60From: 2003-08-28Exp: 2010-09-30→ Series A Preferred Stock (23,296 underlying) - 13,703(indirect: By Trust)
Series A Preferred Stock
Exercise: $2.04→ Common Stock (164,436 underlying) - 300,000
Options
Exercise: $0.20Exp: 2013-12-17→ Common Stock (300,000 underlying) - 13,312(indirect: By Trust)
Series A Preferred Stock
Exercise: $2.64→ Common Stock (159,744 underlying) - 225,000
Stock Options
Exercise: $0.11Exp: 2019-12-16→ Common Stock (225,000 underlying)
Footnotes (7)
- [F1]By reporting person as trustee of the Alan and Lisa Stern Family Trust.
- [F2]Immediately exercisable.
- [F3]No expiration date.
- [F4]150,000 shares vest on each of 11/28/07, 11/28/08 and 11/28/09.
- [F5]Right to buy.
- [F6]56,250 shares vest on each of 3/17/2010, 6/17/2010, 9/17/2010 and 12/17/2010.
- [F7]This transaction inolved the amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the issuance of a replacement warrant.
Documents
Issuer
HYPERTENSION DIAGNOSTICS INC /MN
CIK 0001058828
Entity typeother
Related Parties
1- filerCIK 0001261299
Filing Metadata
- Form type
- 4
- Filed
- Sep 7, 8:00 PM ET
- Accepted
- Sep 8, 11:15 AM ET
- Size
- 30.2 KB