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|4Aug 1, 4:40 PM ET

Sunshine Heart, Inc. 4

4 · Sunshine Heart, Inc. · Filed Aug 1, 2013

Insider Transaction Report

Form 4
Period: 2013-07-30
Sunshine Heart, Inc.SSH
Brooke Geoffrey
Director
Transactions
  • Award

    Non-Qualified Stock Option (right to buy)

    2013-07-30$7.50/sh+2,527$18,953→ 2,527 total
    Exercise: $7.50Exp: 2023-07-30→ Common Stock (2,527 underlying)
  • Exercise/Conversion

    Common Stock

    2013-07-30+3,666→ 3,666 total
Holdings

  • Common Stock

    (indirect: (2))
    815,165

  • Common Stock

    (indirect: (1))
    379,596
Footnotes (4)
  • [F1](1) Represents securities held directly by GBS Bioventures II A/C. The reporting person is a managing director of GBS Venture Partners Pty Ltd which manages GBS Bioventures II A/C. The reporting person shares voting and investment power with another partner and may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
  • [F2](2) Represents securities held directly by GBS Bioventures III A/C. The reporting person is a managing director of GBS Venture Partners Pty Ltd which manages GBS Bioventures III A/C. The reporting person shares voting and investment power with another partner and may be deemed to be an indirect beneficial owner of the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
  • [F3](3) On July 30, 2013, the reporting person was granted 3,666 restricted stock units, fully vested on the date of grant. Restricted stock units convert into common stock on a one-for-one basis.
  • [F4](4) On July 30, 2013, the reporting person was granted 2,527 non-qualified stock options, fully vested on the date of grant.

Documents

2 files