Filing Details

Accession Number:
0001179110-10-001213
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-01-19 12:00:00
Reporting Period:
2010-01-14
Filing Date:
2010-01-19
Accepted Time:
2010-01-19 16:00:21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1318310 Ev3 Inc. EVVV Surgical & Medical Instruments & Apparatus (3841) 320138874
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1083927 B Richard Emmitt C/O The Vertical Group, L.p.
25 Deforest Avenue
Summit NJ 07901
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
Voting Common Stock Disposition 2010-01-14 4,200 $13.95 2,519,424 No 4 S Indirect See Explanation
Voting Common Stock Disposition 2010-01-15 262 $13.95 2,519,162 No 4 S Indirect See Explanation
Voting Common Stock Disposition 2010-01-19 95,538 $14.03 2,423,624 No 4 S Indirect See Explanation
Voting Common Stock Disposition 2010-01-19 100,000 $14.20 2,323,624 No 4 S Indirect See Explanation
Voting Common Stock Disposition 2010-01-19 100,000 $14.47 2,223,624 No 4 S Indirect See Explanation
Voting Common Stock Disposition 2010-01-19 100,000 $14.71 2,123,624 No 4 S Indirect See Explanation
Voting Common Stock Disposition 2010-01-19 100,000 $14.95 2,023,624 No 4 S Indirect See Explanation
Voting Common Stock Disposition 2010-01-19 100,000 $15.21 1,923,624 No 4 S Indirect See Explanation
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Explanation
No 4 S Indirect See Explanation
No 4 S Indirect See Explanation
No 4 S Indirect See Explanation
No 4 S Indirect See Explanation
No 4 S Indirect See Explanation
No 4 S Indirect See Explanation
No 4 S Indirect See Explanation
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Voting Common Stock 15,871 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (right to buy) $12.29 2011-07-26 7,620 7,620 Direct
Common Stock Stock Option (right to buy) $9.96 2012-05-30 1,905 1,905 Direct
Common Stock Stock Option (right to buy) $6.47 2013-05-22 1,905 1,905 Direct
Common Stock Stock Option (right to buy) $8.76 2014-05-20 1,905 1,905 Direct
Common Stock Stock Option (right to buy) $8.40 2015-05-26 1,905 1,905 Direct
Common Stock Stock Option (right to buy) $16.66 2017-05-17 20,000 20,000 Direct
Common Stock Stock Option (right to buy) $9.90 2018-05-20 20,696 20,696 Direct
Common Stock Stock Option (right to buy) $9.04 2019-05-25 19,841 19,841 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2011-07-26 7,620 7,620 Direct
2012-05-30 1,905 1,905 Direct
2013-05-22 1,905 1,905 Direct
2014-05-20 1,905 1,905 Direct
2015-05-26 1,905 1,905 Direct
2017-05-17 20,000 20,000 Direct
2018-05-20 20,696 20,696 Direct
2019-05-25 19,841 19,841 Direct
Footnotes
  1. The shares were sold pursuant to a Rule 10b5-1 trading plan.
  2. The shares are owned by Vertical Fund I, L.P. and Vertical Fund II, L.P. (together, the "Funds"). Mr. Emmitt is a a member and manager of The Vertical Group GP, LLC, a limited liability company that, through other entities, controls the investment decisions made on behalf of the Funds, and Mr. Emmitt may therefore be deemed to be a beneficial owner of the shares owned by the Funds. Mr. Emmitt disclaims beneficial ownership of the shares except to the extent of his indirect pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the shares for purposes of Section 16 or for any other purpose.
  3. The shares were issued to the reporting person as restricted stock in connection with his services as a director of the Issuer. As of the date hereof, 3787 shares have vested and become non-forfeitable, 3788 shares will vest and become non-forfeitable on May 20, 2010, and 4148 shares will vest and become non-forfeitable on each of May 1, 2010 and May 1, 2011.
  4. The options are fully exercisable.
  5. The options are exercisable in four equal annual installments commencing May 17, 2007.
  6. The options are exercisable in two equal annual installments commencing May 1, 2009.
  7. The options are exercisable in two substantially equal annual installments commencing May 1, 2010