4//SEC Filing
Sunshine Heart, Inc. 4
Accession 0001540202-13-000001
$NUWECIK 0001506492operating
Filed
Jul 31, 8:00 PM ET
Accepted
Aug 1, 4:40 PM ET
Size
12.6 KB
Accession
0001540202-13-000001
Insider Transaction Report
Form 4
Brooke Geoffrey
Director
Transactions
- Award
Non-Qualified Stock Option (right to buy)
2013-07-30$7.50/sh+2,527$18,953→ 2,527 totalExercise: $7.50Exp: 2023-07-30→ Common Stock (2,527 underlying) - Exercise/Conversion
Common Stock
2013-07-30+3,666→ 3,666 total
Holdings
- 815,165(indirect: (2))
Common Stock
- 379,596(indirect: (1))
Common Stock
Footnotes (4)
- [F1](1) Represents securities held directly by GBS Bioventures II A/C. The reporting person is a managing director of GBS Venture Partners Pty Ltd which manages GBS Bioventures II A/C. The reporting person shares voting and investment power with another partner and may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F2](2) Represents securities held directly by GBS Bioventures III A/C. The reporting person is a managing director of GBS Venture Partners Pty Ltd which manages GBS Bioventures III A/C. The reporting person shares voting and investment power with another partner and may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F3](3) On July 30, 2013, the reporting person was granted 3,666 restricted stock units, fully vested on the date of grant. Restricted stock units convert into common stock on a one-for-one basis.
- [F4](4) On July 30, 2013, the reporting person was granted 2,527 non-qualified stock options, fully vested on the date of grant.
Issuer
Sunshine Heart, Inc.
CIK 0001506492
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001506492
Filing Metadata
- Form type
- 4
- Filed
- Jul 31, 8:00 PM ET
- Accepted
- Aug 1, 4:40 PM ET
- Size
- 12.6 KB