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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Ats Medical (MM) | NASDAQ:ATSI | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 4.00 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
Swandal Craig A |
2. Issuer Name
and
Ticker or Trading Symbol
ATS MEDICAL INC [ ATSI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Vice President of Operations |
3905 ANNAPOLIS LANE NORTH |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
PLYMOUTH, MN 55447 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 8/11/2010 | M | 17000 | A | $0.00 | 43488.95 (1) | D | |||
Common Stock | 8/11/2010 | F | 5559 | D | $4.00 | 37929.95 | D | |||
Common Stock | 8/12/2010 | D | 37929.95 | D | (2) | 0 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (3) | 8/11/2010 | M | 17000 | 8/11/2009 (4) | 8/11/2013 (5) | Common Stock | 68000 | $0.00 | 51000 | D | ||||
Restricted Stock Units | (3) | 8/12/2010 | D | 51000 (6) | 8/11/2009 | 8/11/2013 | Common Stock | 510000 | $4.00 | 0 | D | ||||
Restricted Stock Units | (3) | 8/12/2010 | D | 52852 (6) | 3/15/2010 (4) | 3/15/2014 (5) | Common Stock | 52852 | $4.00 | 0 | D | ||||
Restricted Stock Units | (3) | 8/12/2010 | D | 53410 (6) | 3/1/2011 (4) | 3/1/2015 (5) | Common Stock | 53410 | $4.00 | 0 | D | ||||
Restricted Stock Units | (3) | 8/12/2010 | D | 15000 (6) | 3/1/2011 (4) | 3/1/2015 | Common Stock | 15000 | $4.00 | 0 | D |
Explanation of Responses: | |
( 1) | Includes shares held in Employee Stock Purchase Plan as of April 30, 2010. |
( 2) | In connection with the merger of a subsidiary of Medtronic, Inc. into Issuer on August 12, 2010 (the "Merger") pursuant to an agreement and plan of merger dated April 28, 2010, all shares of Issuer common stock were converted into the right to receive $4 per share in cash. |
( 3) | 1 unit for 1 share of Common Stock |
( 4) | Vests in 20% annual cumulative installments beginning the date shown. |
( 5) | Represents last vesting date. |
( 6) | This restricted stock unit, the vesting of which was accelerated in connection with the Merger, was cancelled in the merger in exchange for the right to receive a cash payment equal to the product of (i) the total number of shares of stock represented by the restricted stock unit, multiplied by (ii) $4 per share, less applicable withholding taxes. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Swandal Craig A
3905 ANNAPOLIS LANE NORTH PLYMOUTH, MN 55447 |
|
|
Vice President of Operations |
|
Signatures
|
||
/s/ Deborah K. Chapman, as Attorney in Fact for Craig A. Swandal | 8/12/2010 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
1 Year Ats Medical (MM) Chart |
1 Month Ats Medical (MM) Chart |
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