Filing Details

Accession Number:
0000930413-11-000885
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-10 17:19:09
Reporting Period:
2011-02-08
Filing Date:
2011-02-10
Accepted Time:
2011-02-10 17:19:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1337013 Infusystem Holdings Inc INFU Surgical & Medical Instruments & Apparatus (3841) 203341405
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1239607 R Jeffrey Jay C/O Great Point Partners Llc
165 Mason Street, 3Rd Floor
Greenwich CT 06830
No No Yes No
1281446 Great Point Partners Llc 165 Mason Street, 3Rd Floor
Greenwich CT 06830
No No Yes No
1397513 David Kroin C/O Great Point Partners Llc
165 Mason Street, 3Rd Floor
Greenwich CT 06830
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 Disposition 2011-02-08 110,252 $2.75 1,874,290 No 4 S Indirect By Biomedical Value Fund, L.P.
Common Stock Disposition 2011-02-08 115,000 $2.75 1,955,000 No 4 S Indirect By Biomedical Offshore Value Fund, Ltd.
Common Stock Disposition 2011-02-08 24,748 $2.75 420,710 No 4 S Indirect By Biomedical Institutional Value Fund, L.P.
Common Stock Disposition 2011-02-10 1,874,290 $2.23 0 No 4 S Indirect By Biomedical Value Fund, L.P.
Common Stock Disposition 2011-02-10 1,955,000 $2.23 0 No 4 S Indirect By Biomedical Offshore Value Fund, Ltd.
Common Stock Disposition 2011-02-10 420,710 $2.23 0 No 4 S Indirect By Biomedical Institutional Value Fund, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Biomedical Value Fund, L.P.
No 4 S Indirect By Biomedical Offshore Value Fund, Ltd.
No 4 S Indirect By Biomedical Institutional Value Fund, L.P.
No 4 S Indirect By Biomedical Value Fund, L.P.
No 4 S Indirect By Biomedical Offshore Value Fund, Ltd.
No 4 S Indirect By Biomedical Institutional Value Fund, L.P.
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Warrant Option (right to buy) $0.00 900,000 900,000 Indirect
Warrant Option (right to buy) $0.00 766,666 766,666 Indirect
Common Stock Option (right to buy) $6.25 2011-04-11 900,000 900,000 Indirect
Common Stock Option (right to buy) $6.25 2011-04-11 766,666 766,666 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
900,000 900,000 Indirect
766,666 766,666 Indirect
2011-04-11 900,000 900,000 Indirect
2011-04-11 766,666 766,666 Indirect
Footnotes
  1. Great Point Partners, LLC ("Great Point") is the investment manager of Biomedical Value Fund, L.P. ("BMVF") and by virtue of such status may be deemed to be the beneficial owner of the shares and options held by BMVF. Each of Dr. Jeffrey R. Jay, M.D. (Dr. "Jay"), as senior managing member of Great Point, and Mr. David Kroin ("Mr. Kroin"), as special managing member of Great Point, has voting and investment power with respect to the shares held by BMVF and may be deemed to be the beneficial owner of the shares and options held by BMVF. Great Point, Dr. Jay and Mr. Kroin disclaim beneficial ownership of the shares and options held by BMVF, except to the extent of any pecuniary interest, and this report shall not be deemed to be an admission that they are the beneficial owners of such securities.
  2. Great Point is the investment manager of Biomedical Offshore Value Fund, Ltd. ("BOVF") and by virtue of such status may be deemed to be the beneficial owner of the shares and options held by BOVF. Each of Dr. Jay, as senior managing member of Great Point, and Mr. Kroin, as special managing member of Great Point, has voting and investment power with respect to the shares held by BOVF and may be deemed to be the beneficial owner of the shares and options held by BOVF. Great Point, Dr. Jay and Mr. Kroin disclaim beneficial ownership of the shares and options held by BOVF, except to the extent of any pecuniary interest, and this report shall not be deemed to be an admission that they are the beneficial owners of such securities.
  3. Great Point is the investment manager of Biomedical Institutional Value Fund, L.P. ("BIVF") and by virtue of such status may be deemed to be the beneficial owner of the shares and options held by BIVF. Each of Dr. Jay, as senior managing member of Great Point, and Mr. Kroin, as special managing member of Great Point, has voting and investment power with respect to the shares held by BIVF and may be deemed to be the beneficial owner of the shares [and options] held by BIVF. Great Point, Dr. Jay and Mr. Kroin disclaim beneficial ownership of the shares and options held by BIVF, except to the extent of any pecuniary interest, and this report shall not be deemed to be an admission that they are the beneficial owners of such securities.
  4. $.0000006.
  5. On October 15, 2007, BMVF was assigned options to acquire warrants to purchase 899,999.64 shares of Common Stock of the Issuer by Great Point. Great Point acquired such options to acquire such warrants pursuant to an Option Agreement, dated as of October 12, 2007 (the "FTN Option Agreement"), by and between Great Point and FTN Midwest Securities Corp. Pursuant to the FTN Option Agreement, such options to acquire such warrants are exercisable upon the satisfaction of certain conditions, including the trading price for per of Common Stock of the Issuer equaling or exceeding $8.00 for any 20 out of 30 consecutive trading days.
  6. Not applicable.
  7. On October 15, 2007, BOVF was assigned options to acquire warrants to purchase 766,666.36 shares of Common Stock of the Issuer by Great Point. Great Point acquired such options to acquire warrants pursuant to the FTN Option Agreement. Pursuant to the FTN Option Agreement, such options to acquire such warrants are exercisable upon the satisfaction of certain conditions, including the trading price for per of Common Stock of the Issuer equaling or exceeding $8.00 for any 20 out of 30 consecutive trading days.
  8. The exercise price of the warrants is subject to adjustment for dividends with respect to, or subdivisions, combinations, reclassifications of, the Issuer's common stock.
  9. Exercisable immediately.