STERN ALAN 4

4 · HYPERTENSION DIAGNOSTICS INC /MN · Filed Dec 21, 2010

Form 4

Period: 2010-12-16

Director

Transactions

Award
Stock Options
2010-12-16+225,000→ 225,000 total
Exercise: $0.10Exp: 2020-12-16→ Common Stock (225,000 underlying)

Holdings

Common Stock
(indirect: By Trust)
1,290,631
Common Stock Warrant
(indirect: By Trust)
Exercise: $0.30From: 2003-08-28Exp: 2011-09-30→ Common Stock (370,466 underlying)
370,466
Series A Preferred Stock Warrant
(indirect: By Trust)
Exercise: $3.60From: 2003-08-28Exp: 2011-09-30→ Series A Preferred Stock (23,296 underlying)
23,296
Series A Preferred Stock
(indirect: By Trust)
Exercise: $2.64→ Common Stock (159,744 underlying)
13,312
Stock Options
Exercise: $0.11Exp: 2019-12-16→ Common Stock (225,000 underlying)
225,000
Common Stock Warrant
(indirect: By Trust)
Exercise: $0.22Exp: 2011-09-30→ Common Stock (109,923 underlying)
109,923
Series A Preferred Warrant
(indirect: By Trust)
Exercise: $2.64Exp: 2011-09-30→ Series A Preferred Stock (6,912 underlying)
6,912
Series A Preferred Stock
(indirect: By Trust)
Exercise: $1.68→ Common Stock (476,148 underlying)
39,679
Stock Options
Exercise: $0.16Exp: 2016-11-27→ Common Stock (450,000 underlying)
450,000
Options
Exercise: $0.20Exp: 2013-12-17→ Common Stock (300,000 underlying)
300,000
Series A Preferred Stock
(indirect: By Trust)
Exercise: $2.04→ Common Stock (164,436 underlying)
13,703

Footnotes (7)

[F1]By reporting person as trustee of the Alan and Lisa Stern Family Trust.
[F2]Immediately exercisable.
[F3]No expiration date.
[F4]150,000 shares vest on each of 11/28/07, 11/28/08 and 11/28/09.
[F5]Right to buy.
[F6]56,250 shares vest on each of 3/17/2010, 6/17/2010, 9/17/2010 and 12/17/2010.
[F7]56,250 shares vest on each of 3/31/2011, 6/30/2011, 9/30/2011 and 12/31/2011.

Documents

1 file