SEC Form 4 · accession 0001209191-18-027153
CAS MEDICAL SYSTEMS INC · CASM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Acuta Capital Fund, LP
10% Owner
Period of report
Jan 4, 2018
Accepted (ET)
May 1, 2018 · 5:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000764579
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 25, 2017 | P | 6,320 | $1.177 | A | 3,244,778 | D | |
| Common StockF2 | Jul 26, 2017 | P | 59,228 | $1.1971 | A | 3,304,006 | D | |
| Common StockF3 | Jul 27, 2017 | P | 2,088 | $1.1838 | A | 3,306,094 | D | |
| Common StockF4 | Jul 28, 2017 | P | 10,287 | $1.1876 | A | 3,316,381 | D | |
| Common StockF5 | Jul 31, 2017 | P | 1,340 | $1.185 | A | 3,317,721 | D | |
| Common Stock | Aug 1, 2017 | P | 3,400 | $1.18 | A | 3,321,121 | D | |
| Common StockF6 | Aug 2, 2017 | P | 1,292 | $1.1753 | A | 3,322,413 | D | |
| Common StockF7 | Aug 3, 2017 | P | 4,051 | $1.171 | A | 3,326,464 | D | |
| Common StockF8 | Aug 4, 2017 | P | 2,624 | $1.1789 | A | 3,329,088 | D | |
| Common StockF9 | Aug 7, 2017 | P | 2,311 | $1.1813 | A | 3,331,399 | D | |
| Common StockF10 | Aug 8, 2017 | P | 26,384 | $0.9856 | A | 3,357,783 | D | |
| Common StockF11 | Aug 9, 2017 | P | 4,080 | $0.9917 | A | 3,361,863 | D | |
| Common StockF12 | Aug 10, 2017 | P | 8,656 | $0.9823 | A | 3,370,519 | D | |
| Common StockF13 | Aug 11, 2017 | P | 5,440 | $1.0018 | A | 3,375,959 | D | |
| Common StockF14 | Aug 15, 2017 | P | 2,720 | $0.9649 | A | 3,378,679 | D | |
| Common Stock | Aug 16, 2017 | P | 333 | $0.99 | A | 3,379,012 | D | |
| Common StockF15 | Aug 17, 2017 | P | 4,284 | $0.9648 | A | 3,383,296 | D | |
| Common StockF16 | Aug 18, 2017 | P | 1,565 | $0.9909 | A | 3,384,861 | D | |
| Common StockF17 | Aug 22, 2017 | P | 816 | $0.985 | A | 3,385,677 | D | |
| Common StockF18 | Aug 23, 2017 | P | 5,576 | $0.9595 | A | 3,391,253 | D | |
| Common StockF19 | Aug 24, 2017 | P | 2,720 | $0.9525 | A | 3,393,973 | D | |
| Common StockF20 | Aug 29, 2017 | P | 1,088 | $0.9279 | A | 3,395,061 | D | |
| Common StockF21 | Sep 7, 2017 | P | 2,464 | $0.8857 | A | 3,397,525 | D | |
| Common Stock | Sep 8, 2017 | P | 222 | $0.90 | A | 3,397,747 | D | |
| Common StockF22 | Dec 13, 2017 | P | 2,070 | $0.6207 | A | 3,399,817 | D | |
| Common StockF23 | Dec 14, 2017 | P | 5,520 | $0.6263 | A | 3,405,337 | D | |
| Common StockF24 | Dec 15, 2017 | P | 3,450 | $0.638 | A | 3,408,787 | D | |
| Common StockF25 | Dec 18, 2017 | P | 2,760 | $0.6559 | A | 3,411,547 | D | |
| Common StockF26 | Dec 19, 2017 | P | 7,476 | $0.6481 | A | 3,419,023 | D | |
| Common StockF27 | Dec 26, 2017 | P | 9,660 | $0.7161 | A | 3,428,683 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were purchased in multiple transactions at prices ranging from $1.15 to $1.19 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F10The shares were purchased in multiple transactions at prices ranging from $0.955 to $1.02 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F11The shares were purchased in multiple transactions at prices ranging from $0.99 to $1.00 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F12The shares were purchased in multiple transactions at prices ranging from $0.958 to $0.998 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F13The shares were purchased in multiple transactions at prices ranging from $0.98 to $1.01 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F14The shares were purchased in multiple transactions at prices ranging from $0.9598 to $0.97 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F15The shares were purchased in multiple transactions at prices ranging from $0.9499 to $1.00 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F16The shares were purchased in multiple transactions at prices ranging from $0.99 to $1.00 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F17The shares were purchased in multiple transactions at prices ranging from $0.98 to $0.99 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F18The shares were purchased in multiple transactions at prices ranging from $0.95 to $0.99 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F19The shares were purchased in multiple transactions at prices ranging from $0.95 to $0.96 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2The shares were purchased in multiple transactions at prices ranging from $1.17 to $1.25 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F20The shares were purchased in multiple transactions at prices ranging from $0.91 to $0.96 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F21The shares were purchased in multiple transactions at prices ranging from $0.87 to $0.89 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F22The shares were purchased in multiple transactions at prices ranging from $0.6189 to $0.6299 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F23The shares were purchased in multiple transactions at prices ranging from $0.6199 to $0.6388 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F24The shares were purchased in multiple transactions at prices ranging from $0.6299 to $0.65 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F25The shares were purchased in multiple transactions at prices ranging from $0.648 to $0.6787 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F26The shares were purchased in multiple transactions at prices ranging from $0.6396 to $0.669 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F27The shares were purchased in multiple transactions at prices ranging from $0.6796 to $0.72 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3The shares were purchased in multiple transactions at prices ranging from $1.18 to $1.19 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4The shares were purchased in multiple transactions at prices ranging from $1.17 to $1.20 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F5The shares were purchased in multiple transactions at prices ranging from $1.18 to $1.19 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F6The shares were purchased in multiple transactions at prices ranging from $1.17 to $1.18 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F7The shares were purchased in multiple transactions at prices ranging from $1.16 to $1.18 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F8The shares were purchased in multiple transactions at prices ranging from $1.17 to $1.19 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F9The shares were purchased in multiple transactions at prices ranging from $1.18 to $1.19 per share. The price reported reflects the volume weighted average purchase price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Remarks
Due to limitations of the electronic filing system, this Form 4 is being filed in multiple parts. This is part 3 of 4.