Filing Details
- Accession Number:
- 0000914190-12-000124
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-17 16:40:54
- Reporting Period:
- 2012-02-14
- Filing Date:
- 2012-02-17
- Accepted Time:
- 2012-02-17 16:40:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1180145 | Cardiovascular Systems Inc | CSII | Surgical & Medical Instruments & Apparatus (3841) | 411698056 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1067915 | H John Friedman | 651 Campus Drive St. Paul MN 55112 | 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 | Disposition | 2012-02-14 | 6,850 | $8.82 | 58,825 | No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
| Common Stock | Disposition | 2012-02-15 | 52,972 | $8.69 | 5,853 | No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
| Common Stock | Disposition | 2012-02-16 | 5,853 | $8.75 | 0 | No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
| No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
| No | 4 | S | Indirect | Easton Hunt Capital Partners, L.P. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,000 | Direct | |
| Common Stock | 421,023 | Indirect | Easton Capital Partners, LP |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $7.90 | 2017-10-08 | 4,321 | 4,321 | Direct | |
| Common Stock | Stock Option (right to buy) | $11.38 | 2017-11-12 | 15,088 | 15,088 | Direct | |
| Common Stock | Stock Option (right to buy) | $8.83 | 2016-08-14 | 38,820 | 38,820 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 5,714 | 5,714 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 11,628 | 11,628 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 21,739 | 21,739 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 7,192 | 7,192 | Direct | ||
| Common Stock | Warrant (Right to Buy) | $9.28 | 2008-09-12 | 2013-09-12 | 107,833 | 107,833 | Indirect |
| Common Stock | Warrant (Right to Buy) | $8.83 | 2009-02-25 | 2014-02-24 | 151,617 | 151,617 | Indirect |
| Common Stock | Warrant (Right to Buy) | $8.83 | 2009-02-25 | 2014-02-24 | 151,617 | 151,617 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-10-08 | 4,321 | 4,321 | Direct |
| 2017-11-12 | 15,088 | 15,088 | Direct |
| 2016-08-14 | 38,820 | 38,820 | Direct |
| 5,714 | 5,714 | Direct | |
| 11,628 | 11,628 | Direct | |
| 21,739 | 21,739 | Direct | |
| 7,192 | 7,192 | Direct | |
| 2013-09-12 | 107,833 | 107,833 | Indirect |
| 2014-02-24 | 151,617 | 151,617 | Indirect |
| 2014-02-24 | 151,617 | 151,617 | Indirect |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.89 to $8.80 inclusive. The reporting person undertakes to provide Cardiovascular Systems, Inc., any security holder of Cardiovascular Systems, Inc. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.65 to $8.78 inclusive. The reporting person undertakes to provide Cardiovascular Systems, Inc., any security holder of Cardiovascular Systems, Inc. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.70 to $8.87 inclusive. The reporting person undertakes to provide Cardiovascular Systems, Inc., any security holder of Cardiovascular Systems, Inc. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- Mr. Friedman disclaims beneficial ownership of shares held by Easton Hunt Capital Partners, L.P. and Easton Capital Partners, LP except to the extent of his pecuniary interest therein.
- Fully exercisable.
- Each restricted stock unit represents the right to receive a payment from CSI equal in value to the market price per share of CSI common stock on the date of payment and shall be payable in shares of the Company's Common Stock beginning six months following the termination of each director's board membership.
- Each restricted stock unit represents the right to receive a payment from CSI equal in value to the market price per share of CSI common stock on the date of payment, and shall be payable in cash or shares of the Company's Common Stock beginning six months following the termination of each director's board membership; provided, however, that the restricted stock units vest in remaining quarterly amounts of 1,798 on each of 3/31/2012 and 6/30/2012.
- Mr. Friedman disclaims beneficial ownership of warrants held by Easton Hunt Capital Partners, L.P. and Easton Capital Partners, LP except to the extent of his pecuniary interest therein.
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