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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 | ||||||||
Warrant (Right to Buy) | $ 4.43 (1) | 05/19/2010 | X(1) | 874,532 | (3) | (4) | Common Stock | 874,532 | $ 0 | 0 | D | ||||
Warrant (Right to Buy) | $ 10.25 (2) | 05/19/2010 | X(2) | 437,268 | (5) | (4) | Common Stock | 437,268 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ascension Health 4600 EDMUNDSON ROAD ST. LOUIS, MO 63134 |
X |
/s/ Anthony J. Speranzo | 05/21/2010 | |
**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) | The Reporting Person exercised this warrant on a cashless basis, simultaneous with the execution and delivery of the underwriting agreement related to the Issuer's initial public offering, based on the initial public offering price per share of $12.00, resulting in the issuance to the Reporting Person of 551,788 shares of Common Stock and cancellation of the warrant with respect to the balance of 322,744 shares of Common Stock. |
(2) | The Reporting Person exercised this warrant on a cashless basis, simultaneous with the execution and delivery of the underwriting agreement related to the Issuer's initial public offering, based on the initial public offering price per share of $12.00, resulting in the issuance to the Reporting Person of 63,861 shares of Common Stock and cancellation of the warrant with respect to the balance of 373,407 shares of Common Stock. |
(3) | The warrants to purchase 874,532 shares of Common Stock with an exercise price of $4.43 per share were immediately exercisable when issued in December 2007. |
(4) | The warrants expire upon the effective date of the Issuer's initial public offering. |
(5) | The warrants to purchase 437,268 shares of Common Stock with an exercise price of $10.25 per share were immediately exercisable when issued in March 2008. |