Filing Details
- Accession Number:
- 0001181431-11-053608
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-10-26 20:08:43
- Reporting Period:
- 2011-09-23
- Filing Date:
- 2011-10-26
- Accepted Time:
- 2011-10-26 20:08:43
- Original Submission Date:
- 2011-09-27
- 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 |
---|---|---|---|---|---|---|---|
1045714 | S Gary Kohler | 3033 Excelsior Boulevard, Suite 300 Minneapolis MN 55416 | No | No | No | Yes | |
1162431 | Trusts Master Hfr | 65 Front Street Hamilton Hm 11 D0 | No | No | Yes | Yes | |
1257391 | Whitebox Advisors Llc | 3033 Excelsior Boulevard, Suite 300 Minneapolis MN 55416 | No | No | Yes | Yes | |
1296973 | Whitebox L/S Equity Partners Lp | 3033 Excelsior Boulevard, Suite 300 Minneapolis MN 55416 | No | No | Yes | Yes | |
1311923 | Pandora Select Partners, L.p. | 3033 Excelsior Boulevard, Suite 300 Minneapolis MN 55416 | No | No | Yes | Yes | |
1452149 | Whitebox Multi-Strategy Partners Lp | 3033 Excelsior Boulevard, Suite 300 Minneapolis MN 55416 | No | No | Yes | Yes |
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 | 2011-09-23 | 600,000 | $1.65 | 2,532,600 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2011-09-23 | 59,000 | $1.65 | 2,591,600 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2011-09-23 | 120,000 | $0.00 | 119,999 | $1.90 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,819,999 | 2011-09-23 | 2016-09-28 | No | 4 | P | Indirect |
Footnotes
- Shares acquired are held directly by Whitebox Multi-Strategy Partners, L.P. ("WMSP"), Whitebox L/S Equity Partners, L.P. ("WLSEP"), Pandora Select Partners, L.P. ("PSP"), and HFR RVA Combined Master Trust ("HFR").
- The general partner of , WMSP is Whitebox Multi-Strategy Advisors, LLC ("WMSA"), WlSEP is Whitebox L/S Equity Advisors, LLC ("WLSEA"), and PSP is Pandora Select Advisors, LLC ("PSA"). The managing member and controlling owner of WMSA, WLSEA, and PSA is Whitebox Advisors, LLC ("WA"). WA is the investment manager authorized and appointed as HFR's agent and attorney-in-fact with the power to direct the affairs of HFR including the power to vote and dispose of the shares of Common Stock held by HFR and decision-making power with respect to the disposition of the proceeds from the sale of such Common Stock.
- Shares attributable to interests held by WA as Managing Member of WMSA, WLSEA, and PSA, which act as General Partners of WMSP, WLSEP, and PSP which directly hold the shares and as Investment Adviser to HFR.
- Shares are held directly by Gary Kohler, an associate of WA. WA, WMSP, WLSEP, PSP, HFR, WMSA, WLSEA, and PSA, each disclaim beneficial ownership of the shares attributable to Gary Kohler and have no pecuniary interest therein.