STERN ALAN 4

4 · HYPERTENSION DIAGNOSTICS INC /MN · Filed Apr 1, 2009

Form 4

Period: 2009-02-03

Director

Transactions

Purchase
Common Stock
2009-02-26$0.04/sh+1,900$80→ 1,096,759 total(indirect: By Trust)
Purchase
Common Stock
2009-02-20$0.04/sh+25,000$980→ 1,094,859 total(indirect: By Trust)
Purchase
Common Stock
2009-02-03$0.03/sh+79,000$2,473→ 1,057,859 total(indirect: By Trust)
Purchase
Common Stock
2009-03-03$0.04/sh+5,000$200→ 1,101,759 total(indirect: By Trust)
Purchase
Common Stock
2009-03-04$0.04/sh+37,100$1,447→ 1,138,859 total(indirect: By Trust)
Purchase
Common Stock
2009-02-12$0.04/sh+12,000$500→ 1,069,859 total(indirect: By Trust)

Holdings

Common Stock Warrant
(indirect: By Trust)
Exercise: $0.30From: 2003-08-28Exp: 2008-08-28→ Common Stock (370,466 underlying)
370,466
Options
Exercise: $0.20Exp: 2013-12-17→ Common Stock (300,000 underlying)
300,000
Common Stock Warrant
(indirect: By Trust)
Exercise: $0.22From: 2003-08-28Exp: 2006-12-15→ Common Stock (211,694 underlying)
211,694
Series A Preferred Stock Warrant
(indirect: By Trust)
Exercise: $3.60From: 2003-08-28Exp: 2008-08-28→ Series A Preferred Stock (23,296 underlying)
23,296
Series A Preferred Stock
(indirect: By Trust)
Exercise: $2.04→ Common Stock (164,436 underlying)
13,703
Stock Options
Exercise: $0.16Exp: 2016-11-27→ Common Stock (450,000 underlying)
450,000
Series A Preferred Stock
(indirect: By Trust)
Exercise: $1.68→ Common Stock (399,348 underlying)
33,279
Series A Preferred Stock Warrant
(indirect: By Trust)
Exercise: $2.64From: 2003-08-28Exp: 2006-12-15→ Series A Preferred Stock (13,312 underlying)
13,312
Series A Preferred Stock
(indirect: By Trust)
Exercise: $2.64→ Common Stock (159,744 underlying)
13,312

Footnotes (6)

[F1]By reporting person as trustee of the Alan and Lisa Stern Family Trust.
[F2]The reporting person's purchase of HDII common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 13,000 shares, with the reporting person's sale of 13,000 shares of HDII common stock at a price of $0.03133 per share on December 23, 2008. The reporting person has paid the Issuer, $47.71, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.
[F3]Immediately exercisable.
[F4]No expiration date.
[F5]150,000 shares vest on each of 11/28/07, 11/28/08 and 11/28/09.
[F6]Right to buy.

Documents

1 file