Filing Details
- Accession Number:
- 0001104659-14-077196
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-05 19:29:35
- Reporting Period:
- 2013-09-23
- Filing Date:
- 2014-11-05
- Accepted Time:
- 2014-11-05 19:29:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1506492 | Sunshine Heart Inc. | SSH | Electromedical & Electrotherapeutic Apparatus (3845) | 680533453 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1542841 | A/C 4A Venture Capital Cm | Level 8, 379 Queen Street Brisbane C3 QLD 4000 | No | No | Yes | No | |
| 1542842 | A/C 4B Venture Capital Cm | Level 8, 379 Queen Street Brisbane C3 QLD 4000 | No | No | Yes | No | |
| 1619365 | Ltd Pty Ventures Talu | Level 8, 379 Queen Street Brisbane C3 QLD 4000 | No | No | Yes | 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 | 2013-09-23 | 62,500 | $10.50 | 812,856 | No | 4 | P | Indirect | By: CM Capital Venture Trust 4A |
| Common Stock | Acquisiton | 2013-09-23 | 62,500 | $10.50 | 812,856 | No | 4 | P | Indirect | By: CM Capital Venture Trust 4B |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By: CM Capital Venture Trust 4A |
| No | 4 | P | Indirect | By: CM Capital Venture Trust 4B |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Warrant (right to buy) | $0.00 | 0 | 188,393 | Indirect | ||
| Common Stock | Common Stock Warrant (right to buy) | $0.00 | 0 | 188,393 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 188,393 | Indirect | |
| 0 | 188,393 | Indirect |
Footnotes
- Represents securities held by CM Capital Venture Trust 4A. Beginning January 1, 2013, Talu Ventures Pty Ltd. became the investment manager of CM Capital Venture Trust 4A and has voting and investment power over the securities held by CM Capital Venture Trust 4A, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Voting and investment decisions are made by an investment committee of five individuals, each of whom disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- Represents securities held by CM Capital Venture Trust 4B. Beginning January 1, 2013, Talu Ventures Pty Ltd. became the investment manager of CM Capital Venture Trust 4B and has voting and investment power over the securities held by CM Capital Venture Trust 4B, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Voting and investment decisions are made by an investment committee of five individuals, each of whom disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Billionaire Hedge Funds
