Filing Details
- Accession Number:
- 0001181431-10-060997
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-12-13 14:20:22
- Reporting Period:
- 2010-12-09
- Filing Date:
- 2010-12-13
- Accepted Time:
- 2010-12-13 14:20:22
- 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 |
---|---|---|---|---|---|---|---|
1243513 | B Mark Knudson | 2800 Patton Road St. Paul MN 55113 | Chrmn, Pres & Ceo | Yes | 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 | 25,000 | $1.74 | 57,571 | No | 4 | P | Indirect | Revocable Trust 2003 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | Revocable Trust 2003 |
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 | 25,000 | $0.01 | 25,000 | $2.19 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
25,000 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,382 | Indirect | Spouse Revocable Trust |
Common Stock | 3,215 | Indirect | Family Limited Partnership |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | $2.76 | 2004-08-16 | 2014-08-16 | 11,575 | 11,575 | Direct |
Common Stock | Stock Option (right to buy) | $2.76 | 2015-04-27 | 7,915 | 7,915 | Direct | |
Common Stock | Stock Option (right to buy) | $2.76 | 2007-04-20 | 2016-04-20 | 6,776 | 6,776 | Direct |
Common Stock | Stock Option (right to buy) | $1.90 | 2010-10-29 | 2017-10-29 | 33,432 | 33,432 | Direct |
Common Stock | Warrants (right to buy) | $23.68 | 2010-11-13 | 337 | 337 | Indirect | |
Common Stock | Warrants (right to buy) | $23.68 | 2010-11-13 | 169 | 169 | Indirect | |
Common Stock | Stock Option (right to buy) | $1.90 | 2010-10-29 | 2017-10-29 | 25,902 | 25,902 | Direct |
Common Stock | Stock Option (right to buy) | $1.90 | 2010-10-29 | 2017-10-29 | 44,131 | 44,131 | Direct |
Common Stock | Warrant (Right to Buy) | $8.28 | 2009-08-24 | 2013-02-24 | 5,498 | 5,498 | Indirect |
Common Stock | Stock Option (right to buy) | $1.90 | 2010-10-29 | 2017-10-29 | 50,472 | 50,472 | Direct |
Common Stock | Stock Option (right to buy) | $3.78 | 2009-11-18 | 2019-11-18 | 20,833 | 20,833 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-08-16 | 11,575 | 11,575 | Direct |
2015-04-27 | 7,915 | 7,915 | Direct |
2016-04-20 | 6,776 | 6,776 | Direct |
2017-10-29 | 33,432 | 33,432 | Direct |
2010-11-13 | 337 | 337 | Indirect |
2010-11-13 | 169 | 169 | Indirect |
2017-10-29 | 25,902 | 25,902 | Direct |
2017-10-29 | 44,131 | 44,131 | Direct |
2013-02-24 | 5,498 | 5,498 | Indirect |
2017-10-29 | 50,472 | 50,472 | Direct |
2019-11-18 | 20,833 | 20,833 | Direct |
Footnotes
- 32,968 shares vest immediately, of the remaining shares 25% vest on the first anniversary of the date of grant and thereafter at 1/36th per month for 36 months, beginning the date shown.
- Currently 100% vested in accordance with achievement of milestone vesting terms.
- Vests 25% on the first anniversary of the date of grant and 1/36th per month for 36 months thereafter, beginning the date shown.
- Immediately exercisable.
- 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 the date it becomes exercisable.