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4//SEC Filing

BAXANO SURGICAL, INC. 4

Accession 0001144204-14-015492

CIK 0001230355operating
View on SEC.govCompany Profile

Filed

Mar 12, 8:00 PM ET

Accepted

Mar 13, 4:57 PM ET

Size

8.8 KB

Accession

0001144204-14-015492

Insider Transaction Report

Form 4
Period: 2014-03-11
BAXANO SURGICAL, INC.BAXS
SHAPIRO JAMES M
Director
Transactions
  • Other

    Common Stock

    2014-03-11+615→ 1,230 total(indirect: By Trust)
Holdings

  • Common Stock

    (indirect: Kearny Venture Partners Entrepreneurs' Fund, L.P.)
    40,612

  • Common Stock

    (indirect: Kearny Venture Partners, L.P.)
    1,991,262

  • Common Stock

    (indirect: Thomas Weisel Healthcare Venture Partners, L.P.)
    1,029,545
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.

Documents

1 file

Issuer

BAXANO SURGICAL, INC.

CIK 0001230355

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001230355

Filing Metadata

Form type
4
Filed
Mar 12, 8:00 PM ET
Accepted
Mar 13, 4:57 PM ET
Size
8.8 KB
View on SEC.gov