Filing Details
- Accession Number:
- 0001181431-13-013578
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-01 16:03:50
- Reporting Period:
- 2013-02-27
- Filing Date:
- 2013-03-01
- Accepted Time:
- 2013-03-01 16:03:50
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1371217 | Enteromedics Inc | ETRM | Electromedical & Electrotherapeutic Apparatus (3845) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1519772 | P. Anthony Jansz | 2800 Patton Road St. Paul MN 55113 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-02-27 | 150,000 | $0.95 | 150,000 | No | 4 | P | Indirect | Pibrac Property Holdings PTY |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | Pibrac Property Holdings PTY |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2013-02-27 | 60,000 | $0.00 | 60,000 | $1.14 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
60,000 | 2013-02-27 | 2018-02-27 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 25,000 | Indirect | Family Trust |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Director Option (Right to Buy) | $2.63 | 2011-05-05 | 2021-05-05 | 25,000 | 25,000 | Direct |
Common Stock | Option (Right to Buy) | $2.76 | 2011-07-01 | 2015-06-01 | 50,000 | 50,000 | Direct |
Common Stock | Director Option (Right to Buy) | $2.77 | 2012-05-09 | 2022-05-09 | 10,000 | 10,000 | Direct |
Common Stock | Option (Right to Buy) | $2.65 | 2013-01-22 | 2017-01-22 | 50,000 | 50,000 | Direct |
Common Stock | Performance Option (Right to Buy) | $2.65 | 2017-01-22 | 25,000 | 25,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2021-05-05 | 25,000 | 25,000 | Direct |
2015-06-01 | 50,000 | 50,000 | Direct |
2022-05-09 | 10,000 | 10,000 | Direct |
2017-01-22 | 50,000 | 50,000 | Direct |
2017-01-22 | 25,000 | 25,000 | Direct |
Footnotes
- The reporting person disclaims beneficial interest in the shares held by the Trust.
- Vests immediately as to 25% on date noted and thereafter in cumulative installments of 1/36th per month.
- Vests in increments of 1/48th per month, beginning the date shown.
- Vests immediately as to 16,667 shares on the date noted; 16,667 shares on 1/22/2014 and 16,666 shares on 1/22/2015.
- Vests 100% based on meeting certain performance criteria prior to 6/30/2014 or change in control.
- Purchase price of each share of common stock, includes a warrant to purchase 0.40 of a share of common stock.
- The reporting person disclaims beneficial interest in the shares, except to the extent of his pecuniary interest in such shares.