4//SEC Filing
BAXANO SURGICAL, INC. 4
Accession 0001144204-13-033221
CIK 0001230355operating
Filed
Jun 3, 8:00 PM ET
Accepted
Jun 4, 4:30 PM ET
Size
20.3 KB
Accession
0001144204-13-033221
Insider Transaction Report
Form 4
SHAPIRO JAMES M
Director
Transactions
- Purchase
Common Stock
2013-05-31$2.28/sh+14,129$32,214→ 15,734 total(indirect: Kearny Venture Partners Entrepreneurs' Fund, L.P.) - Other
Common Stock
2013-05-31+24,878→ 40,612 total(indirect: Kearny Venture Partners Entrepreneurs' Fund, L.P.) - Purchase
Common Stock
2013-05-31$2.28/sh+692,711$1,579,381→ 771,406 total(indirect: Kearny Venture Partners, L.P.) - Other
Common Stock
2013-05-31+1,219,856→ 1,991,262 total(indirect: Kearny Venture Partners, L.P.)
Holdings
- 1,029,545(indirect: Thomas Weisel Healthcare Venture Partners, L.P.)
Common Stock
Footnotes (4)
- [F1]The reportable securities are owned directly by Kearny Venture Partners Entrepreneurs' Fund, L.P. Mr. Shapiro is a managing member of Kearny Venture Associates, L.L.C., which is the general partner of Kearny Venture Partners Entrepreneurs' Fund, L.P., and has shared voting and dispositive power with respect to the shares held by Kearny Venture Partners Entrepreneurs' Fund, L.P. Mr. Shapiro disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein. Also includes 1,605 shares held by Kearny Venture Partners Entrepreneurs' Fund, L.P. previously reported as being held by Kearny Venture Partners, L.P.
- [F2]The reportable securities are owned directly by Kearny Venture Partners, L.P. Mr. Shapiro is a managing member of Kearny Venture Associates, L.L.C., which is the general partner of Kearny Venture Partners, L.P., and has shared voting and dispositive power with respect to the shares held by Kearny Venture Partners, L.P. Mr. Shapiro disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein.
- [F3]Received in exchange for outstanding convertible promissory notes and shares of Series C Preferred Stock of Baxano, Inc. pursuant to the Agreement and Plan of Merger, dated March 3, 2013, by and among TranS1 Inc. (now Baxano Surgical, Inc.), RacerX Acquisition Corp., Baxano, Inc., and Sumeet Jain and David Schulte as Securityholder Representatives, as amended by the First Amendment to Agreement and Plan of Merger, dated April 10, 2013, by and among the parties.
- [F4]The reportable securities are owned directly by Thomas Weisel Healthcare Venture Partners, L.P. ("TWHVP"). Mr. Shapiro is a managing director of Kearny Venture Capital, L.L.C., the subadvisor to Thomas Weisel Healthcare Venture Partners L.L.C. ("TWHVP LLC"), the general partner of TWHVP, and has shared voting and dispositive power over the shares held by TWHVP. Mr. Shapiro disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein.
Issuer
BAXANO SURGICAL, INC.
CIK 0001230355
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001230355
Filing Metadata
- Form type
- 4
- Filed
- Jun 3, 8:00 PM ET
- Accepted
- Jun 4, 4:30 PM ET
- Size
- 20.3 KB