Filing Details
- Accession Number:
- 0001179110-10-001585
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-01-28 12:00:00
- Reporting Period:
- 2009-12-17
- Filing Date:
- 2010-01-28
- Accepted Time:
- 2010-01-28 11:29:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1058828 | Hypertension Diagnostics Inc | HDII | Surgical & Medical Instruments & Apparatus (3841) | 411618036 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1261299 | Alan Stern | 602 S. Hudson Avenue Sw Los Angeles CA 90005 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-01-19 | 25,000 | $0.21 | 1,163,859 | No | 4 | P | Indirect | By Trust |
| Common Stock | Acquisiton | 2010-01-22 | 25,000 | $0.21 | 1,188,859 | No | 4 | P | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Trust |
| No | 4 | P | Indirect | By Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Acquisiton | 2009-12-17 | 225,000 | $0.00 | 225,000 | $0.11 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 225,000 | 2019-12-16 | No | 4 | A | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Warrant | $0.22 | 2003-08-28 | 2010-09-30 | 211,694 | 211,694 | Indirect |
| Common Stock | Common Stock Warrant | $0.30 | 2003-08-28 | 2010-09-30 | 370,466 | 370,466 | Indirect |
| Series A Preferred Stock | Series A Preferred Stock Warrant | $2.64 | 2003-08-28 | 2010-09-30 | 13,312 | 13,312 | Indirect |
| Series A Preferred Stock | Series A Preferred Stock Warrant | $3.60 | 2003-08-28 | 2010-09-30 | 23,296 | 23,296 | Indirect |
| Common Stock | Options | $0.20 | 2013-12-17 | 300,000 | 300,000 | Direct | |
| Common Stock | Series A Preferred Stock | $1.68 | 399,348 | 33,279 | Indirect | ||
| Common Stock | Series A Preferred Stock | $2.04 | 164,436 | 13,703 | Indirect | ||
| Common Stock | Series A Preferred Stock | $2.64 | 159,744 | 13,312 | Indirect | ||
| Common Stock | Stock Options | $0.16 | 2016-11-27 | 450,000 | 450,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2010-09-30 | 211,694 | 211,694 | Indirect |
| 2010-09-30 | 370,466 | 370,466 | Indirect |
| 2010-09-30 | 13,312 | 13,312 | Indirect |
| 2010-09-30 | 23,296 | 23,296 | Indirect |
| 2013-12-17 | 300,000 | 300,000 | Direct |
| 399,348 | 33,279 | Indirect | |
| 164,436 | 13,703 | Indirect | |
| 159,744 | 13,312 | Indirect | |
| 2016-11-27 | 450,000 | 450,000 | Direct |
Footnotes
- By reporting person as trustee of the Alan and Lisa Stern Family Trust.
- Immediately exercisable.
- No expiration date.
- 150,000 shares vest on each of 11/28/07, 11/28/08 and 11/28/09.
- Right to buy.
- 56,250 shares vest on each of 3/17/2010, 6/17/2010, 9/17/2010 and 12/17/2010.
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