0001596771-17-000033.txt : 20170420
0001596771-17-000033.hdr.sgml : 20170420
20170420162400
ACCESSION NUMBER: 0001596771-17-000033
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170419
FILED AS OF DATE: 20170420
DATE AS OF CHANGE: 20170420
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sunshine Heart, Inc.
CENTRAL INDEX KEY: 0001506492
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 680533453
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 12988 VALLEY VIEW ROAD
CITY: EDEN PRAIRIE
STATE: MN
ZIP: 55344
BUSINESS PHONE: 952-345-4200
MAIL ADDRESS:
STREET 1: 12988 VALLEY VIEW ROAD
CITY: EDEN PRAIRIE
STATE: MN
ZIP: 55344
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ERB JOHN L
CENTRAL INDEX KEY: 0001213867
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35312
FILM NUMBER: 17773268
MAIL ADDRESS:
STREET 1: C/O VASCULAR SOLUTIONS, INC.
STREET 2: 6464 SYCAMORE COURT N.
CITY: MINNEAPOLIS,
STATE: MN
ZIP: 55369
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2017-04-19
0
0001506492
Sunshine Heart, Inc.
SSH
0001213867
ERB JOHN L
12988 VALLEY VIEW ROAD
EDEN PRAIRIE
MN
55344
1
1
0
0
CEO and President
Common Stock
2017-04-19
4
P
0
100000
A
115468
D
Warrant to Purchase Common Stock (right to buy)
1.1
2017-04-19
4
P
0
100000
A
2017-04-24
2022-04-24
Common Stock
100000
100000
D
The reporting person purchased Class A Units ("Units") consisting of one share of common stock and one warrant to purchase one share of common stock for $1.00 per Unit in an underwritten public offering by the issuer. The shares of common stock and warrants comprising the Units were issued separately. The offering is expected to close on April 24, 2017.
On January 12, 2017, the issuer effected a 1-for-30 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 30 shares of common stock was automatically converted into one share of common stock, resulting in a decrease of the insider's common stock holdings of 448,660 shares.
Gayle C. Aiken, by Power of Attorney
2017-04-20