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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1230355	Baxano Surgical Inc.	BAXS	Surgical & Medical Instruments & Apparatus (3841)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1365935	A Roderick Young	C/O Three Arch Partners 320 Alpine Road Portola Valley CA 94028		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	2013-05-31	28,948	$2.28	28,948	No	4	P	Indirect	Three Arch Associates IV, L.P.
Common Stock	Acquisiton	2013-05-31	1,311,086	$2.28	1,311,086	No	4	P	Indirect	Three Arch Partners IV, L.P.
Common Stock	Acquisiton	2013-05-31	50,718	$0.00	79,666	No	4	J	Indirect	Three Arch Associates IV, L.P.
Common Stock	Acquisiton	2013-05-31	2,297,144	$0.00	3,608,230	No	4	J	Indirect	Three Arch Partners IV, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Three Arch Associates IV, L.P.
No	4	P	Indirect	Three Arch Partners IV, L.P.
No	4	J	Indirect	Three Arch Associates IV, L.P.
No	4	J	Indirect	Three Arch Partners IV, L.P.

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Acquisiton	2013-05-31	30,000	$0.00	30,000	$2.06

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
30,000		2023-05-30	No	4	A	Direct

Footnotes

The reportable securities are owned directly by Three Arch Associates IV, L.P. Mr. Young is a venture partner of Three Arch Associates IV, L.P. and does not have any voting or dispositive power with respect to the shares held by Three Arch Associates IV, L.P. Mr. Young disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein
The reportable securities are owned directly by Three Arch Partners IV, L.P. Mr. Young is a venture partner of Three Arch Partners IV, L.P. and does not have any voting or dispositive power with respect to the shares held by Three Arch Partners IV, L.P. Mr. Young disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein.
Received in exchange for outstanding convertible promissory notes and shares of Series C Preferred Stock of Baxano, Inc. pursuant to the Agreement and Plan of Merger, dated March 3, 2013, by and among TranS1 Inc. (now Baxano Surgical, Inc.), RacerX Acquisition Corp., Baxano, Inc., and Sumeet Jain and David Schulte as Securityholder Representatives, as amended by the First Amendment to Agreement and Plan of Merger, dated April 10, 2013, by and among the parties.
25% of the stock option shall vest on May 31, 2014 and the remaining 75% of the stock option shall vest thereafter in 36 equal monthly installments.