0001437749-17-009602.txt : 20170518 0001437749-17-009602.hdr.sgml : 20170518 20170518214151 ACCESSION NUMBER: 0001437749-17-009602 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170516 FILED AS OF DATE: 20170518 DATE AS OF CHANGE: 20170518 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DEXTERA SURGICAL INC CENTRAL INDEX KEY: 0001178104 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 943287832 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 900 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-364-9975 MAIL ADDRESS: STREET 1: 900 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: CARDICA INC DATE OF NAME CHANGE: 20020719 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bates Michael A. CENTRAL INDEX KEY: 0001661542 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 17856304 MAIL ADDRESS: STREET 1: 900 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 4 1 rdgdoc.xml FORM 4 X0306 4 2017-05-16 0001178104 DEXTERA SURGICAL INC DXTR 0001661542 Bates Michael A. 900 SAGINAW DRIVE REDWOOD CITY CA 94063 1 Series B Convertible Preferred Stock 0.27 2017-05-16 4 P 0 50 1000 A Common Stock 185200 50 D Series 1 Convertible Preferred Stock 0.27 2017-05-16 4 P 0 185200 A Common Stock 185200 185200 D Series 2 Convertible Preferred Stock 0.27 2017-05-16 4 P 0 92600 A Common Stock 92600 92600 D Each share of Series B convertible preferred stock was sold with warrants to purchase up to 3,704 shares of common stock (referred to as "Series 1 warrants") and warrants to purchase up to 1,852 shares of common stock (referred to as "Series 2 warrants"). Subject to certain ownership limitations, each share of the Series B convertible preferred stock is convertible at any time at the option of the holder into 3,704 shares of common stock. There is no expiration date. Subject to certain ownership limitations, the warrants are immediately exercisable. The warrant expires on the fifth anniversary of the date of issuance. The warrant expires on the first anniversary of the date of issuance. The reported securities are included in the price equal to $1,000 per share of the Series B convertible preferred stock purchased. /s/ Robert Y. Newell IV ForL Michael A. Bates 2017-05-18