SEC Form 4/A · accession 0001276591-16-000024
HANSEN MEDICAL INC · HNSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Cary Guy Vance
Officer — President and CEO · Director
Period of report
May 26, 2015
Accepted (ET)
Feb 17, 2016 · 4:32 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,F2,F3 | May 26, 2015 | M | 5,962 | $0.00 | A | 13,462 | D | |
| Common StockF4 | Jun 24, 2015 | S | 1,863 | $9.60 | D | 11,599 | D | |
| Common StockF1 | Jun 1, 2015 | M | 1,491 | $0.00 | A | 13,090 | D | |
| Common StockF4 | Jun 26, 2015 | S | 436 | $8.70 | D | 12,654 | D | |
| Common StockF1 | Sep 1, 2015 | M | 1,491 | $0.00 | A | 14,145 | D | |
| Common StockF1,F4 | Sep 17, 2015 | S | 548 | $5.60 | D | 13,597 | D | |
| Common StockF1 | Dec 2, 2015 | M | 1,491 | $0.00 | A | 15,088 | D | |
| Common StockF4 | Dec 2, 2015 | S | 491 | $2.98 | D | 14,597 | 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 UnitF8,F5,F6,F7 | — | May 26, 2015 | M | 5,962 | A | — | — | Common Stock | 5,962 | 17,887 | D |
| Restricted Stock UnitF8,F5,F6,F7 | — | Jun 1, 2015 | M | 1,491 | A | — | — | Common Stock | 1,491 | 16,396 | D |
| Restricted Stock UnitF8,F5,F6,F7 | — | Sep 1, 2015 | M | 1,491 | A | — | — | Common Stock | 1,491 | 14,905 | D |
| Restricted Stock UnitF1,F8,F5,F6,F7 | — | Dec 2, 2015 | M | 1,491 | A | — | — | Common Stock | 1,491 | 13,414 | D |
Explanation of responses
- F1Date amended to correct release and settlement dates.
- F2All amounts on this Form 4 reflect the Company's reverse ten-for-one stock split effected on September 22, 2015.
- F3This amendment updates the Amount of Securities Beneficially Owned column to reflect Mr. Vance's holdings in post-reverse stock split amounts. The Form 4 filed on February 4, 2016 that this Form 4/A amends inaccurately reported the Amount of Securities Beneficially Owned in pre-reverse stock split amounts.
- F4Pursuant 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.
- F5Each restricted stock unit represents the contingent right to receive one share of Common Stock upon vesting of the unit.
- F6The 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.
- F7The units will be forfeited and cancelled to the extent that they have not vested before termination of employment.
- F8This amendment updates the Number of derivative Securities Beneficially Owned Following Reported Transactions in post-reverse stock split amounts. The Form 4 filed on February 4, 2016 that this Form 4/A amends inaccurately reported the Number of derivative Securities Beneficially Owned Following Reported Transactions in pre-reverse stock split amounts.