-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Gu6GMbIyzJqv6/SlFv1E0G1avSs5By8UMBSmVMqNcIJp3lVhV/mUl2tHVyX6+ESV K2MPU5QvwwfVr/qUWixYEA== 0001179110-05-014395.txt : 20050718 0001179110-05-014395.hdr.sgml : 20050718 20050718171524 ACCESSION NUMBER: 0001179110-05-014395 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050714 FILED AS OF DATE: 20050718 DATE AS OF CHANGE: 20050718 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NMT MEDICAL INC CENTRAL INDEX KEY: 0001017259 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 954090463 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 27 WORMWOOD STREET CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6177370930 MAIL ADDRESS: STREET 1: 27 WORMWOOD STREET CITY: BOSTON STATE: MA ZIP: 02210 FORMER COMPANY: FORMER CONFORMED NAME: NITINOL MEDICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19960619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CASTLEMAN PETER M CENTRAL INDEX KEY: 0001239594 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21001 FILM NUMBER: 05960022 BUSINESS ADDRESS: STREET 1: WHITNEY & CO. STREET 2: 177 BROAD STREET CITY: STAMFORD STATE: CT ZIP: 06901 4 1 edgar.xml FORM 4 - X0202 4 2005-07-14 1 0001017259 NMT MEDICAL INC NMTI 0001239594 CASTLEMAN PETER M 177 BROAD STREET, 15TH FLOOR STAMFORD CT 06901 0 0 1 0 Common 2005-07-14 4 J 0 1829010 10.8620 D 0 I See Footnote 1. Common 2005-07-14 4 J 0 561207 10.90 D 0 I See Footnote 2. Common 113793 I See Footnote 3. Securities owned by Whitney Equity Partners, L.P. ("Equity Partners"). The undersigned is a managing member of J. H. Whitney Equity Partners, L.L.C., the general partner of Equity Partners, and has an interest in two limited partners of Equity Partners. The undersigned may be deemed to share voting and dispositive power with respect to such shares. The undersigned disclaims beneficial ownership of such shares except to the extent of his proportionate interest. Securities owned by Whitney Subordinated Debt Fund, L.P. ("Debt Fund"). The undersigned is a managing member of Whitney General Partner, L.L.C., the general partner of Debt Fund. The undersigned may be deemed to share voting and dispositive power with respect to such shares. The undersigned disclaims beneficial ownership of such shares except to the extent of his proportionate interest. Securities owned by J. H. Whitney & Co. ("JHW&Co."). The undersigned is a managing member of Whitney General Partner, L.L.C., the general partner of JHW&Co. The undersigned may be deemed to share voting and dispositive power with respect to such shares. The undersigned disclaims beneficial ownership of such shares except to the extent of his proportionate interest. Securities distributed to partners of Equity Partners on a pro-rata basis in accordance with the Partnership Agreement. Securities distributed to partners of Debt Fund on a pro-rata basis in accordance with the Partnership Agreement. Equity Partners, Debt Fund and JHW&Co. may be deemed members of a Section 13(d) "group". The undersigned disclaims the existence of such a group and disclaims beneficial ownership of the Common Stock owned by such partnerships, except as set forth in Footnotes 1, 2 and 3. Peter M. Castleman, By: Daniel J. O'Brien, Attorney-in-Fact 2005-07-18 -----END PRIVACY-ENHANCED MESSAGE-----