0001596771-17-000018.txt : 20170303 0001596771-17-000018.hdr.sgml : 20170303 20170303171820 ACCESSION NUMBER: 0001596771-17-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170202 FILED AS OF DATE: 20170303 DATE AS OF CHANGE: 20170303 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: Likens Matthew E. CENTRAL INDEX KEY: 0001699613 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35312 FILM NUMBER: 17665232 MAIL ADDRESS: STREET 1: 12988 VALLEY VIEW ROAD CITY: EDEN PRAIRIE STATE: MN ZIP: 55344 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-02-02 0 0001506492 Sunshine Heart, Inc. SSH 0001699613 Likens Matthew E. 12988 VALLEY VIEW ROAD EDEN PRAIRIE MN 55344 1 0 0 0 Common Stock 2017-02-02 4 A 0 1437 0 A 1437 D Non-qualified Stock Option (right to buy) 5.41 2017-02-02 4 A 0 903 0 A 2027-02-01 Common Stock 903 903 D The reporting person was granted restricted stock units, which vest in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the shares will be vested on the one-year anniversary of the date of grant. Restricted stock units convert into common stock on a one-for-one basis. Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant. Stephanie Swan, by Power of Attorney 2017-03-03