Filing Details
- Accession Number:
- 0001179110-10-001213
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-01-19 12:00:00
- Reporting Period:
- 2010-01-14
- Filing Date:
- 2010-01-19
- Accepted Time:
- 2010-01-19 16:00:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1318310 | Ev3 Inc. | EVVV | Surgical & Medical Instruments & Apparatus (3841) | 320138874 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1083927 | B Richard Emmitt | C/O The Vertical Group, L.p. 25 Deforest Avenue Summit NJ 07901 | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Voting Common Stock | Disposition | 2010-01-14 | 4,200 | $13.95 | 2,519,424 | No | 4 | S | Indirect | See Explanation |
Voting Common Stock | Disposition | 2010-01-15 | 262 | $13.95 | 2,519,162 | No | 4 | S | Indirect | See Explanation |
Voting Common Stock | Disposition | 2010-01-19 | 95,538 | $14.03 | 2,423,624 | No | 4 | S | Indirect | See Explanation |
Voting Common Stock | Disposition | 2010-01-19 | 100,000 | $14.20 | 2,323,624 | No | 4 | S | Indirect | See Explanation |
Voting Common Stock | Disposition | 2010-01-19 | 100,000 | $14.47 | 2,223,624 | No | 4 | S | Indirect | See Explanation |
Voting Common Stock | Disposition | 2010-01-19 | 100,000 | $14.71 | 2,123,624 | No | 4 | S | Indirect | See Explanation |
Voting Common Stock | Disposition | 2010-01-19 | 100,000 | $14.95 | 2,023,624 | No | 4 | S | Indirect | See Explanation |
Voting Common Stock | Disposition | 2010-01-19 | 100,000 | $15.21 | 1,923,624 | No | 4 | S | Indirect | See Explanation |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See Explanation |
No | 4 | S | Indirect | See Explanation |
No | 4 | S | Indirect | See Explanation |
No | 4 | S | Indirect | See Explanation |
No | 4 | S | Indirect | See Explanation |
No | 4 | S | Indirect | See Explanation |
No | 4 | S | Indirect | See Explanation |
No | 4 | S | Indirect | See Explanation |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Voting Common Stock | 15,871 | 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) | $12.29 | 2011-07-26 | 7,620 | 7,620 | Direct | |
Common Stock | Stock Option (right to buy) | $9.96 | 2012-05-30 | 1,905 | 1,905 | Direct | |
Common Stock | Stock Option (right to buy) | $6.47 | 2013-05-22 | 1,905 | 1,905 | Direct | |
Common Stock | Stock Option (right to buy) | $8.76 | 2014-05-20 | 1,905 | 1,905 | Direct | |
Common Stock | Stock Option (right to buy) | $8.40 | 2015-05-26 | 1,905 | 1,905 | Direct | |
Common Stock | Stock Option (right to buy) | $16.66 | 2017-05-17 | 20,000 | 20,000 | Direct | |
Common Stock | Stock Option (right to buy) | $9.90 | 2018-05-20 | 20,696 | 20,696 | Direct | |
Common Stock | Stock Option (right to buy) | $9.04 | 2019-05-25 | 19,841 | 19,841 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2011-07-26 | 7,620 | 7,620 | Direct |
2012-05-30 | 1,905 | 1,905 | Direct |
2013-05-22 | 1,905 | 1,905 | Direct |
2014-05-20 | 1,905 | 1,905 | Direct |
2015-05-26 | 1,905 | 1,905 | Direct |
2017-05-17 | 20,000 | 20,000 | Direct |
2018-05-20 | 20,696 | 20,696 | Direct |
2019-05-25 | 19,841 | 19,841 | Direct |
Footnotes
- The shares were sold pursuant to a Rule 10b5-1 trading plan.
- The shares are owned by Vertical Fund I, L.P. and Vertical Fund II, L.P. (together, the "Funds"). Mr. Emmitt is a a member and manager of The Vertical Group GP, LLC, a limited liability company that, through other entities, controls the investment decisions made on behalf of the Funds, and Mr. Emmitt may therefore be deemed to be a beneficial owner of the shares owned by the Funds. Mr. Emmitt disclaims beneficial ownership of the shares except to the extent of his indirect pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the shares for purposes of Section 16 or for any other purpose.
- The shares were issued to the reporting person as restricted stock in connection with his services as a director of the Issuer. As of the date hereof, 3787 shares have vested and become non-forfeitable, 3788 shares will vest and become non-forfeitable on May 20, 2010, and 4148 shares will vest and become non-forfeitable on each of May 1, 2010 and May 1, 2011.
- The options are fully exercisable.
- The options are exercisable in four equal annual installments commencing May 17, 2007.
- The options are exercisable in two equal annual installments commencing May 1, 2009.
- The options are exercisable in two substantially equal annual installments commencing May 1, 2010