0001209191-13-031355.txt : 20130610 0001209191-13-031355.hdr.sgml : 20130610 20130610162117 ACCESSION NUMBER: 0001209191-13-031355 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130531 FILED AS OF DATE: 20130610 DATE AS OF CHANGE: 20130610 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BAXANO SURGICAL, INC. CENTRAL INDEX KEY: 0001230355 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 110 HORIZON DRIVE, SUITE 230 CITY: RALEIGH STATE: NC ZIP: 27615 BUSINESS PHONE: (919) 800-0020 MAIL ADDRESS: STREET 1: 110 HORIZON DRIVE, SUITE 230 CITY: RALEIGH STATE: NC ZIP: 27615 FORMER COMPANY: FORMER CONFORMED NAME: TRANS1 INC DATE OF NAME CHANGE: 20030501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Prospect Management Co. III, L.L.C. CENTRAL INDEX KEY: 0001331894 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33744 FILM NUMBER: 13903666 BUSINESS ADDRESS: STREET 1: 435 TASSO STREET STREET 2: SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6503278800 MAIL ADDRESS: STREET 1: 435 TASSO STREET STREET 2: SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHNELL DAVID CENTRAL INDEX KEY: 0001162060 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33744 FILM NUMBER: 13903667 MAIL ADDRESS: STREET 1: 435 TASSO STREET STREET 2: SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Prospect Venture Partners III L P CENTRAL INDEX KEY: 0001311490 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33744 FILM NUMBER: 13903668 BUSINESS ADDRESS: STREET 1: 435 TASSO ST STREET 2: SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-327-8800 MAIL ADDRESS: STREET 1: 435 TASSO ST STREET 2: SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2013-05-31 0 0001230355 BAXANO SURGICAL, INC. BAXS 0001331894 Prospect Management Co. III, L.L.C. C/O PROSPECT VENTURE PARTNERS 435 TASSO STREET, SUITE 200 PALO ALTO CA 94301 0 0 1 0 0001311490 Prospect Venture Partners III L P C/O PROSPECT VENTURE PARTNERS 435 TASSO STREET, SUITE 200 PALO ALTO CA 94301 0 0 1 0 0001162060 SCHNELL DAVID C/O PROSPECT VENTURE PARTNERS 435 TASSO STREET, SUITE 200 PALO ALTO CA 94301 0 0 1 0 Common Stock 5340616 I By Prospect Venture Partners III, L.P. The reported securities are owned by Prospect Venture Partners III, L.P. ("PVP III"). Prospect Management Co. III, L.L.C. ("PMC III") is the sole general partner of PVP III. David Schnell and Russell C. Hirsch are the managing directors of PMC III and share voting and dispositive power over the shares held by PVP III. Mr. Hirsch is a director of the issuer and files separate Section 16 reports. Each of the reporting persons disclaims beneficial ownership of the reported securities except to the extent of his or its respective pecuniary interest therein. /s/ Russell C. Hirsch, Managing Director 2013-06-10 /s/ Russell C. Hirsch, Managing Director of Prospect Management Co. III, L.L.C., General Partner of Prospect Venture Partners III, L.P. 2013-06-10 /s/ David Schnell 2013-06-10