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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Warrant (right to buy) | $ 28.8 (1) | 01/08/2013 | H | 185,513 | 03/04/2011 | 03/04/2016 | Common Stock | 185,513 (1) | $ 0 (2) | 0 | D | ||||
Common Stock Warrant (right to buy) | $ 1.1 (1) | 01/08/2013 | P | 4,857,068 | 01/08/2013 | 03/04/2016 | Common Stock | 4,857,068 (1) | $ 0 (2) | 4,857,068 (1) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MEDTRONIC INC 710 MEDTRONIC PARKWAY, NE MINNEAPOLIS, MN 55432 |
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Gary L. Ellis, Senior Vice President and Chief Financial Officer | 01/10/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On 6/14/12, the Company completed a one-for-ten reverse stock split. All common stock amounts and exercise prices in the filing relating to securities acquired prior to 6/14/12 have been adjusted to reflect the one-for-ten reverse stock split. |
(2) | The reported transactions consist of an amendment and restatement of warrants pursuant to an Exchange Agreement executed January 8, 2013, effective December 31, 2012. The amendment is reported above as the cancellation of a warrant to purchase 185,513 shares at $28.80 per share and the acquisition of a warrant to purchase 4,857,068 shares at $1.10 per share. |