SEC Form 4 · accession 0001276591-16-000010
HANSEN MEDICAL INC · HNSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cary Guy Vance
Officer — President and CEO · Director
Period of report
Jun 24, 2015
Accepted (ET)
Feb 4, 2016 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001276591
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 24, 2015 | M | 5,962 | $0.00 | A | 80,962 | D | |
| Common StockF2 | Jun 24, 2015 | F | 1,863 | $9.60 | D | 79,099 | D | |
| Common Stock | Jun 26, 2015 | M | 1,491 | $0.00 | A | 80,590 | D | |
| Common StockF2 | Jun 26, 2015 | F | 436 | $8.70 | D | 80,154 | D | |
| Common Stock | Sep 22, 2015 | M | 1,491 | $0.00 | A | 81,645 | D | |
| Common StockF2 | Sep 22, 2015 | F | 548 | $5.60 | D | 81,097 | D | |
| Common Stock | Dec 2, 2015 | M | 1,491 | $0.00 | A | 82,588 | D | |
| Common StockF2 | Dec 2, 2015 | F | 491 | $2.98 | D | 82,097 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F4,F5 | — | Jun 24, 2015 | M | 5,962 | A | — | — | Common Stock | 5,962 | 17,932 | D |
| Restricted Stock UnitF3,F4,F5 | — | Jun 26, 2015 | M | 1,491 | A | — | — | Common Stock | 1,491 | 16,441 | D |
| Restricted Stock UnitF3,F4,F5 | — | Sep 17, 2015 | M | 1,491 | A | — | — | Common Stock | 1,491 | 14,950 | D |
| Restricted Stock UnitF3,F4,F5 | — | Dec 2, 2015 | M | 1,491 | A | — | — | Common Stock | 1,491 | 13,459 | D |
Explanation of responses
- F1All amounts on this Form 4 reflect the Company's reverse ten-for-one stock split effected on September 22, 2015.
- F2Pursuant to Mr. Vance's Restricted Stock Unit Award, the securities disposed of represent shares sold to satisfy withholding obligations in connection with the settlement of vested restricted stock units.
- F3Each restricted stock unit represents the contingent right to receive one share of Common Stock upon vesting of the unit.
- F4The first 25% of the units vested on June 1, 2015. The remaining 75% of the units are scheduled to vest in increments of 6.25% on each March 1, June 1, September 1 and December 1 thereafter, assuming continued employment through the applicable vesting dates.
- F5The units will be forfeited and cancelled to the extent that they have not vested before termination of employment.