Filing Details
- Accession Number:
- 0000914190-13-000819
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-12 16:11:14
- Reporting Period:
- 2013-11-07
- Filing Date:
- 2013-11-12
- Accepted Time:
- 2013-11-12 16:11:14
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1180145 | Cardiovascular Systems Inc | CSII | Surgical & Medical Instruments & Apparatus (3841) | 411698056 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1067915 | H John Friedman | 651 Campus Drive St. Paul MN 55112 | 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 | 2013-11-07 | 151,617 | $8.83 | 572,640 | No | 4 | X | Indirect | Easton Capital Partners, LP |
Common Stock | Disposition | 2013-11-07 | 45,065 | $29.71 | 527,575 | No | 4 | S | Indirect | Easton Capital Partners, LP |
Common Stock | Acquisiton | 2013-11-07 | 151,617 | $8.83 | 211,177 | No | 4 | X | Indirect | Easton Hunt Capital Partners, L.P. |
Common Stock | Disposition | 2013-11-07 | 45,065 | $29.71 | 166,112 | No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | X | Indirect | Easton Capital Partners, LP |
No | 4 | S | Indirect | Easton Capital Partners, LP |
No | 4 | X | Indirect | Easton Hunt Capital Partners, L.P. |
No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant (Right to Buy) | Disposition | 2013-11-07 | 151,617 | $0.00 | 151,617 | $8.83 |
Common Stock | Warrant (Right to Buy) | Disposition | 2013-11-07 | 151,617 | $0.00 | 151,617 | $8.83 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2009-02-25 | 2014-02-24 | No | 4 | X | Indirect |
0 | 2009-02-25 | 2014-02-24 | No | 4 | X | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 8,000 | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | $7.90 | 2017-10-08 | 4,321 | 4,321 | Direct | |
Common Stock | Stock Option (right to buy) | $11.38 | 2017-11-12 | 15,088 | 15,088 | Direct | |
Common Stock | Stock Option (right to buy) | $8.83 | 2016-08-14 | 38,820 | 38,820 | Direct | |
Common Stock | Restricted Stock Units | $0.00 | 5,714 | 5,714 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 11,628 | 11,628 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 21,739 | 21,739 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 7,192 | 7,192 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 10,917 | 10,917 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 4,580 | 4,580 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-10-08 | 4,321 | 4,321 | Direct |
2017-11-12 | 15,088 | 15,088 | Direct |
2016-08-14 | 38,820 | 38,820 | Direct |
5,714 | 5,714 | Direct | |
11,628 | 11,628 | Direct | |
21,739 | 21,739 | Direct | |
7,192 | 7,192 | Direct | |
10,917 | 10,917 | Direct | |
4,580 | 4,580 | Direct |
Footnotes
- Mr. Friedman disclaims beneficial ownership of shares held by Easton Capital Partners, LP except to the extent of his pecuniary interest therein.
- On November 7, 2013, the reporting person exercised two warrants, each to purchase 151,617 shares of Cardiovascular Systems, Inc. ("CSI") common stock for $8.83 a share. The reporting person paid the exercise price for each warrant on a cashless basis, resulting in CSI's withholding of 45,065 of the warrant shares of each warrant to pay the exercise price and issuing to the reporting person the remaining 106,552 shares of each warrant.
- Mr. Friedman disclaims beneficial ownership of shares held by Easton Hunt Capital Partners, L.P. except to the extent of his pecuniary interest therein.
- Fully exercisable.
- Each restricted stock unit represents the right to receive a payment from CSI equal in value to the market price per share of CSI common stock on the date of payment and shall be payable in cash or shares of the Company's Common Stock beginning six months following the termination of each director's board membership.
- Mr. Friedman disclaims beneficial ownership of warrants held by Easton Hunt Capital Partners, L.P. and Easton Capital Partners, LP except to the extent of his pecuniary interest therein.