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Filing Details

Accession Number:: 0001144204-13-033221
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-06-04 16:30:05
Reporting Period:: 2013-05-31

Filing Date:: 2013-06-04
Accepted Time:: 2013-06-04 16:30:05
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1230355	Baxano Surgical Inc.	BAXS	Surgical & Medical Instruments & Apparatus (3841)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1372396	M James Shapiro	C/O Baxano Surgical, Inc. 110 Horizon Drive, Suite 230 Raleigh NC 27615		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-05-31	14,129	$2.28	15,734	No	4	P	Indirect	Kearny Venture Partners Entrepreneurs' Fund, L.P.
Common Stock	Acquisiton	2013-05-31	692,711	$2.28	771,406	No	4	P	Indirect	Kearny Venture Partners, L.P.
Common Stock	Acquisiton	2013-05-31	24,878	$0.00	40,612	No	4	J	Indirect	Kearny Venture Partners Entrepreneurs' Fund, L.P.
Common Stock	Acquisiton	2013-05-31	1,219,856	$0.00	1,991,262	No	4	J	Indirect	Kearny Venture Partners, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Kearny Venture Partners Entrepreneurs' Fund, L.P.
No	4	P	Indirect	Kearny Venture Partners, L.P.
No	4	J	Indirect	Kearny Venture Partners Entrepreneurs' Fund, L.P.
No	4	J	Indirect	Kearny Venture Partners, L.P.

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,029,545	Indirect	Thomas Weisel Healthcare Venture Partners, L.P.

Footnotes

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. Also includes 1,605 shares held by Kearny Venture Partners Entrepreneurs' Fund, L.P. previously reported as being held by Kearny Venture Partners, L.P.
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.
Received in exchange for outstanding convertible promissory notes and shares of Series C Preferred Stock of Baxano, Inc. pursuant to the Agreement and Plan of Merger, dated March 3, 2013, by and among TranS1 Inc. (now Baxano Surgical, Inc.), RacerX Acquisition Corp., Baxano, Inc., and Sumeet Jain and David Schulte as Securityholder Representatives, as amended by the First Amendment to Agreement and Plan of Merger, dated April 10, 2013, by and among the parties.
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.