Filing Details
- Accession Number:
- 0001181431-10-060996
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-13 14:19:55
- Reporting Period:
- 2010-12-09
- Filing Date:
- 2010-12-13
- Accepted Time:
- 2010-12-13 14:19:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1218536 | S Gregory Lea | 2800 Patton Road Minneapolis MN 55113 | Sr Vice Pres And Cfo | No | Yes | 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 | 2010-12-09 | 10,000 | $1.74 | 13,250 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (Common Stock) | Acquisiton | 2010-12-09 | 10,000 | $0.01 | 10,000 | $2.19 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | No | 4 | P | 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) | $1.90 | 2010-10-29 | 2017-10-29 | 16,711 | 16,711 | Direct |
| Common Stock | Stock Option (right to buy) | $1.90 | 2010-10-29 | 2017-10-29 | 3,913 | 3,913 | Direct |
| Common Stock | Stock Option (right to buy) | $1.90 | 2010-10-29 | 2017-10-29 | 16,118 | 16,118 | Direct |
| Common Stock | Common Stock Warrant | $8.28 | 2009-08-24 | 2013-02-24 | 1,374 | 1,374 | Direct |
| Common Stock | Stock Option (right to buy) | $1.90 | 2010-10-29 | 2017-10-29 | 14,597 | 14,597 | Direct |
| Common Stock | Stock Option (Right to Buy) | $3.78 | 2009-11-18 | 2019-11-18 | 16,666 | 16,666 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-10-29 | 16,711 | 16,711 | Direct |
| 2017-10-29 | 3,913 | 3,913 | Direct |
| 2017-10-29 | 16,118 | 16,118 | Direct |
| 2013-02-24 | 1,374 | 1,374 | Direct |
| 2017-10-29 | 14,597 | 14,597 | Direct |
| 2019-11-18 | 16,666 | 16,666 | Direct |
Footnotes
- 25% vests immediately and the remaining 75% vests on 11/15/2010; 100% of unvested shares become vested upon change in control.
- Options vest 33% on date noted and thereafter at 1/24th per month.
- Warrant becomes exercisable 181 days from the date of issuance at close of offering.
- Warrant expires five years from date it first becomes exercisable.
Billionaire Hedge Funds
