BAXANO SURGICAL, INC. 4
4 · BAXANO SURGICAL, INC. · Filed Mar 13, 2014
Insider Transaction Report
Form 4
SHAPIRO JAMES M
Director
Transactions
- Other
Common Stock
2014-03-11+615→ 1,230 total(indirect: By Trust)
Holdings
- 40,612(indirect: Kearny Venture Partners Entrepreneurs' Fund, L.P.)
Common Stock
- 1,991,262(indirect: Kearny Venture Partners, L.P.)
Common Stock
- 1,029,545(indirect: Thomas Weisel Healthcare Venture Partners, L.P.)
Common Stock
Footnotes (4)
- [F1]Pro rata distribution from Sapient Capital LP to James and Sarah Shapiro Family Trust.
- [F2]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.
- [F3]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.
- [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.