-----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, MabgnguvZ7WaKhWQAB0rtJGjmbJyOleDkBoueTGUqk9mDpF9Vb6lAm7UhohvU6GI qh70mdc6xUsQO3mvBO/Egg== 0001196656-09-000001.txt : 20090604 0001196656-09-000001.hdr.sgml : 20090604 20090604115520 ACCESSION NUMBER: 0001196656-09-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090603 FILED AS OF DATE: 20090604 DATE AS OF CHANGE: 20090604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PENDERGAST EDWARD H CENTRAL INDEX KEY: 0001196656 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11388 FILM NUMBER: 09873457 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PLC SYSTEMS INC CENTRAL INDEX KEY: 0000879682 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 043153858 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10 FORGE PK CITY: FRANKLIN STATE: MA ZIP: 02038 BUSINESS PHONE: 5085418800 MAIL ADDRESS: STREET 1: 10 FORGE PARK CITY: FRANKLIN STATE: MA ZIP: 02038 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2009-06-03 0 0000879682 PLC SYSTEMS INC PLCSF 0001196656 PENDERGAST EDWARD H C/O PLC SYSTEMS INC. 10 FORGE PARK FRANKLIN MA 02038 1 0 0 0 Stock Option (Right to Buy) 2.78 2009-06-03 4 D 0 30000 D 2009-09-23 Common Stock 30000 0 D Stock Option (Right to Buy) 1.84 2009-06-03 4 D 0 15000 D 2010-04-29 Common Stock 15000 0 D Stock Option (Right to Buy) 1.66 2009-06-03 4 D 0 20000 D 2010-05-23 Common Stock 20000 0 D Stock Option (Right to Buy) 0.9 2009-06-03 4 D 0 20000 D 2011-05-22 Common Stock 20000 0 D Stock Option (Right to Buy) 0.55 2009-06-03 4 D 0 20000 D 2011-12-18 Common Stock 20000 0 D Stock Option (Right to Buy) 0.52 2009-06-03 4 D 0 20000 D 2013-05-13 Common Stock 20000 0 D Stock Option (Right to Buy) 0.81 2009-06-03 4 D 0 30000 D 2014-05-18 Common Stock 30000 0 D Stock Option (Right to Buy) 0.55 2009-06-03 4 D 0 30000 D 2015-05-23 Common Stock 30000 0 D Stock Option (Right to Buy) 0.67 2009-06-03 4 D 0 30000 D 2016-05-16 Common Stock 30000 0 D Stock Option (Right to Buy) 0.64 2009-06-03 4 D 0 30000 D 2017-06-12 Common Stock 30000 0 D Stock Option (Right to Buy) 0.37 2009-06-03 4 D 0 30000 D 2018-06-17 Common Stock 30000 0 D Stock Option (Right to Buy) 0.24 2009-06-03 4 A 0 275000 A 2014-06-02 Common Stock 275000 275000 D Stock Option (Right to Buy) 0.29 2009-06-03 4 A 0 20000 0 A 2014-06-02 Common Stock 20000 295000 D The cancelled option was fully vested. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on September 24, 1999. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on April 30, 2000. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 24, 2000. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 23, 2001. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on December 19, 2001. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 14, 2003. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 19, 2004. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 24, 2005. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 17, 2006. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on June 13, 2007. The cancelled option provided for vesting in four equal quarterly installments beginning on the three-month anniversary of the date of grant. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on June 18, 2008. The option provides for vesting in four equal quarterly installments beginning on the three-month anniversary of the date of grant. On June 3, 2009, the issuer granted the reporting person an option for the same number of shares as were underlying the options that were cancelled on the same date pursuant to the issuer's option exchange program. /s/ Edward H. Pendergast 2009-06-04 -----END PRIVACY-ENHANCED MESSAGE-----