-----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, NQCM8KLVNnbkRE5o3fPm76/OsfjELZBu7KgVWbb3A2ueOIB71BvdFyjpFLBlMkLO svRW3WePCn/9h3JlP3DRrg== 0000950130-97-004322.txt : 19971001 0000950130-97-004322.hdr.sgml : 19971001 ACCESSION NUMBER: 0000950130-97-004322 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970930 SROS: NONE GROUP MEMBERS: BRIDGE STREET FUND 1993, L.P. GROUP MEMBERS: GOLDMAN SACHS GROUP LP GROUP MEMBERS: GOLMAN, SACHS & CO. GROUP MEMBERS: GS ADVISORS, L.P GROUP MEMBERS: GS CAPITAL PARTNERS, L.P. GROUP MEMBERS: STONE STREET FUND 1993, L.P. GROUP MEMBERS: STONE STREET RESOURCE CORP. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEUROMEDICAL SYSTEMS INC CENTRAL INDEX KEY: 0000866933 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-TESTING LABORATORIES [8734] IRS NUMBER: 133526980 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-46379 FILM NUMBER: 97688685 BUSINESS ADDRESS: STREET 1: TWO EXECUTIVE BLVD STE 306 CITY: SUFFERN STATE: NY ZIP: 10901 BUSINESS PHONE: 9143683600 MAIL ADDRESS: STREET 1: TWO EXECUTIVE BLVD STREET 2: SUITE 306 CITY: SUFFERN STATE: NY ZIP: 10901-4164 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 SC 13D/A 1 AMENDMENT NO. 5 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. 5 Neuromedical Systems, Inc. ----------------------------------------- (Name of Issuer) Common Stock (par value $0.0001 per share) ----------------------------------------- (Title of Class of Securities) 64124H109 ----------------------------------------- (CUSIP Number) David J. Greenwald, Esq. Goldman, Sachs & Co. 85 Broad Street New York, New York 10004 (212) 902-1000 -------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) September 19, 1997 ----------------------------------------- (Date of Event which requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b) (3) or (4), check the following box: ______ Page 1 - ----------------------- CUSIP NO. 64124H109 - ----------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Goldman, Sachs & Co. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ---- (b) ____ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC; OO - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [X] - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization New York - -------------------------------------------------------------------------------- Number of 7 Sole Voting Power Shares Beneficially -0- Owned By ---------------------------- Each 8 Shared Voting Power Reporting Person With 8,303,436 ---------------------------- 9 Sole Dispositive Power -0- ---------------------------- 10 Shared Dispositive Power 8,303,436 ---------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 8,303,436 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares _______ - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 26.8% - -------------------------------------------------------------------------------- 14. Type of Reporting Person BD-PN-IA - -------------------------------------------------------------------------------- Page 2 - ----------------------- CUSIP NO. 64124H109 - ----------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person The Goldman Sachs Group, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ---- (b) ____ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds AF;OO - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) -------- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7 Sole Voting Power Shares Beneficially 135,000 Owned By ----------------------------- Each 8 Shared Voting Power Reporting Person With 8,303,436 ----------------------------- 9 Sole Dispositive Power 135,000 ----------------------------- 10 Shared Dispositive Power 8,303,436 ----------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 8,438,436 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares _______ - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 27.3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person HC-PN - -------------------------------------------------------------------------------- Page 3 - ----------------------- CUSIP NO. 64124H109 - ----------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GS Advisors, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ---- (b) ____ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds AF - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) -------- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7 Sole Voting Power Shares Beneficially -0- Owned By --------------------------- Each 8 Shared Voting Power Reporting Person With 5,374,025 --------------------------- 9 Sole Dispositive Power -0- --------------------------- 10 Shared Dispositive Power 5,374,025 --------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 5,374,025 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares _______ - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 17.4% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 4 - ----------------------- CUSIP NO. 64124H109 - ----------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GS Capital Partners, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ---- (b) ____ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ------ - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7 Sole Voting Power Shares Beneficially -0- Owned By ---------------------------- Each 8 Shared Voting Power Reporting Person With 5,374,025 ---------------------------- 9 Sole Dispositive Power -0- ---------------------------- 10 Shared Dispositive Power 5,374,025 ---------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 5,374,025 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares ________ - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 17.4% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 5 - ----------------------- CUSIP NO. 64124H109 - ----------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Stone Street Fund 1993, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) _____ (b) _____ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ------- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7 Sole Voting Power Shares Beneficially -0- Owned By --------------------------- Each 8 Shared Voting Power Reporting Person With 634,942 --------------------------- 9 Sole Dispositive Power -0- --------------------------- 10 Shared Dispositive Power 634,942 --------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 634,942 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares _______ - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 2.1% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 6 - ----------------------- CUSIP NO. 64124H109 - ----------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Bridge Street Fund 1993, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) _____ (b) _____ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds WC - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) ------- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7 Sole Voting Power Shares Beneficially -0- Owned By ----------------------------- Each 8 Shared Voting Power Reporting Person With 708,564 ----------------------------- 9 Sole Dispositive Power -0- ----------------------------- 10 Shared Dispositive Power 708,564 ----------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 708,564 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares _______ - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 2.3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person PN - -------------------------------------------------------------------------------- Page 7 - ----------------------- CUSIP NO. 64124H109 - ----------------------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Stone Street Resource Corp. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) _____ (b) _____ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds AF - -------------------------------------------------------------------------------- 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) -------- - -------------------------------------------------------------------------------- 6. Citizenship or place of Organization Delaware - -------------------------------------------------------------------------------- Number of 7 Sole Voting Power Shares Beneficially -0- Owned By ------------------------------ Each 8 Shared Voting Power Reporting Person With 1,343,506 ------------------------------ 9 Sole Dispositive Power -0- ------------------------------ 10 Shared Dispositive Power 1,343,506 ------------------------------ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 1,343,506 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares _______ - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 4.3% - -------------------------------------------------------------------------------- 14. Type of Reporting Person CO - -------------------------------------------------------------------------------- Page 8 AMENDMENT NO. 5 TO SCHEDULE 13D RELATING TO THE COMMON STOCK OF NEUROMEDICAL SYSTEMS, INC. GS Capital Partners, L.P. ("GS Capital"), GS Advisors, L.P. ("GS Advisors, L.P."), Stone Street Fund 1993, L.P. ("Stone Street"), Bridge Street Fund 1993, L.P. ("Bridge Street" and together with GS Capital and Stone Street, the "Limited Partnerships"), Stone Street Resource Corp. ("Resource"), Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, L.P. ("GS Group", and together with GS Capital, GS Advisors, L.P., Stone Street, Bridge Street, Resource and Goldman Sachs, the "Filing Persons")/1/ hereby amend the statement on Schedule 13D filed with respect to the common stock, par value $.0001 per share (the "Common Stock"), of Neuromedical Systems, Inc., a Delaware corporation (the "Company"), as most recently amended by Amendment No. 4 thereto filed August 14, 1997 (as amended, the "Schedule 13D"). Unless otherwise indicated, all capitalized terms used but not defined herein shall have the same meaning ascribed to them in the Schedule 13D. - ---------------- /1/Neither the present filing nor anything contained herein shall be construed as an admission that any Filing Person constitutes a "person" for any purposes other than Section 13(d) of the Securities Exchange Act of 1934. Page 9 Item 3 is hereby amended as follows: Item 3. Source and Amount of Funds or Other Consideration ------------------------------------------------- See Schedule IV hereto for transactions in the Common Stock (other than the partial exercise of the UPOs by the Limited Partnership as described below) which have been effected during the period from August 9, 1997 through September 23, 1997, all of which were effected in the ordinary course of business of Goldman Sachs. The total consideration (exclusive of commissions) for shares of Common Stock purchased during this period was approximately $2,321,378.50. Funds for ordinary course trading purchases came from working capital. Funds for the purchase of shares of Common Stock held in Managed Accounts came from client funds. On September 19, 1997, the Limited Partnerships exercised in the aggregate .785 UPOs. The Limited Partnerships funded the exercise with an aggregate of $87,428.88 and received in the aggregate 55,479 shares of Common Stock (including shares related to the underlying warrants). Funds for the exercise of the UPOs came from the working capital of the Limited Partnerships. Item 5 is hereby amended as follows: Item 5. Interest in Securities of the Issuer ------------------------------------ (a) As of September 23, 1997, GS Capital beneficially owned, and GS Advisors may be deemed to beneficially own, an aggregate of 5,374,025 shares of Common Stock, including 5,357,149 shares of Common Stock and UPOs exercisable into 16,876 shares of Common Stock, representing in the aggregate approximately 17.4% of the shares of the Common Stock reported to be outstanding as of August 8, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 1997). As of September 23, 1997, Stone Street beneficially owned an aggregate of 634,942 shares of Common Stock, including 632,947 shares of Common Stock and UPOs exercisable into 1,995 shares of Common Stock, representing in the aggregate approximately 2.1% of the shares of Common Stock reported to be outstanding as of August 8, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 1997). As September 23, 1997, Bridge Street beneficially owned an aggregate of 708,564 shares of Common Stock, including 706,341 shares of Common Stock and UPOs exercisable into 2,223 shares of Common Stock, representing in the aggregate approximately 2.3% of the shares of Common Stock reported to be outstanding as of August 8, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 1997). As of September 23, 1997, Resource may be deemed to beneficially own an aggregate of 1,343,506 shares of Common Stock, which are owned by Stone Street and Bridge Street as described above, representing in the aggregate approximately 4.3% of the shares of Common Stock reported to be outstanding as of August 8, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 1997). As of September 23, 1997, Goldman Sachs may be deemed to beneficially own an aggregate of 8,303,436 shares of Common Stock, including (i) the shares of Common Stock beneficially owned by the Limited Partnerships described above, (ii) 630 shares of Common Stock acquired in ordinary course trading activities, and (iii) 1,585,275 shares of Common Stock held in Managed Accounts, representing in the aggregate approximately 26.8% of the Common Stock reported to be outstanding as of August 8, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 1997). As of September 23, 1997, GS Group may be deemed to beneficially own an aggregate of 8,438,436 shares of Common Stock, including (i) the shares of Common Stock beneficially owned by Goldman Sachs, (ii) 125,000 shares of Common Stock owned by GS Group and (iii) 10,000 Directors Options, representing in the aggregate Page 10 approximately 27.3% of the shares of Common Stock reported to be outstanding as of August 8, 1997 (as reported in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 1997). GS Group and Goldman Sachs disclaim beneficial ownership of (i) the shares of Common Stock beneficially owned by the Limited Partnerships to the extent of partnership interests in the Limited Partnerships held by persons other than GS Group, Goldman Sachs or their affiliates and (ii) shares of Common Stock held in Managed Accounts. None of the Filing Persons or, to the knowledge of any of the Filing Persons, any of the persons listed on Schedules I, II-A or II-B hereto, beneficially owns any shares of Common Stock as of September 23, 1997 other than as set forth herein. (c) Schedule IV sets forth transactions in the Common Stock (other than the partial exercise of the UPOs by the Limited Partnerships as described in Item 3) which have been effected during the period from August 9, 1997 through September 23, 1997, all of which were effected in the ordinary course of business of Goldman Sachs. The transactions in the Common Stock, described in Schedule IV, were effected in the NASDAQ National Market. The total consideration (exclusive of commissions) for the shares of Common Stock purchased during this period was approximately $2,321,378.50. Except as set forth on Schedule IV, no transactions in the Common Stock were effected by Filing Persons, or, to the knowledge of any of the Filing Persons, any of the persons listed on Schedules I, II-A or II-B hereto, during the period from August 9, 1997 through September 23, 1997. Page 11 SIGNATURE --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth is true, complete and correct. Dated: September 30, 1997 GOLDMAN, SACHS & CO. By:/s/ Richard A. Friedman --------------------------- Name: Richard A. Friedman Title: Managing Director THE GOLDMAN SACHS GROUP, L.P. By: The Goldman Sachs Corporation, its general partner By: /s/ Richard A. Friedman --------------------------- Name: Richard A. Friedman Title: Executive Vice President GS ADVISORS, L.P. By: GS Advisors, Inc., its general partner By: /s/ Richard A. Friedman --------------------------- Name: Richard A. Friedman Title: President GS CAPITAL PARTNERS, L.P. By: GS Advisors, L.P., its general partner By: GS Advisors, Inc., its general partner By: /s/ Richard A. Friedman --------------------------- Name: Richard A. Friedman Title: President STONE STREET FUND 1993, L.P. By: Stone Street Resource Corp., its general partner By: /s/ Richard A. Friedman --------------------------- Name: Richard A. Friedman Title: Vice President BRIDGE STREET FUND 1993, L.P. By: Stone Street Resource Corp., its managing general partner By: /s/ Richard A. Friedman --------------------------- Name: Richard A. Friedman Title: Vice President STONE STREET RESOURCE CORP. By: /s/ Richard A. Friedman --------------------------- Name: Richard A. Friedman Title: Vice President Page 12 SCHEDULE IV Neuromedical Systems, Inc. Cusip No. 64124H109 - ----------------------------------------------------------------------
Purchases Sales Price Trade Date Settlement Date - --------- ----- ----- ---------- --------------- 404 4.09375 11-Aug-97 14-Aug-97 7,500 4.0625 11-Aug-97 14-Aug-97 404 4.09375 11-Aug-97 14-Aug-97 700 4.0625 12-Aug-97 15-Aug-97 2,000 4.0625 12-Aug-97 15-Aug-97 7,000 3.96 13-Aug-97 18-Aug-97 3,000 3.96 13-Aug-97 18-Aug-97 1,000 4.0625 13-Aug-97 18-Aug-97 1,000 4.09375 13-Aug-97 18-Aug-97 1,500 4.125 14-Aug-97 19-Aug-97 2,000 3 15/16 14-Aug-97 19-Aug-97 2,000 4.125 14-Aug-97 19-Aug-97 10,000 3 15/16 15-Aug-97 20-Aug-97 2,000 3 15/16 15-Aug-97 20-Aug-97 10,000 3.875 15-Aug-97 20-Aug-97 250 3 15/16 15-Aug-97 20-Aug-97 2,500 3 15/16 15-Aug-97 20-Aug-97 1,500 3 15/16 15-Aug-97 20-Aug-97 1,000 4 18-Aug-97 21-Aug-97 1,000 4 18-Aug-97 21-Aug-97 2,000 3 25/32 19-Aug-97 22-Aug-97 5,000 4 19-Aug-97 22-Aug-97 2,500 3 15/16 19-Aug-97 22-Aug-97 1,000 3 25/32 21-Aug-97 26-Aug-97 500 3 25/32 21-Aug-97 26-Aug-97 1,000 3.5625 22-Aug-97 27-Aug-97 1,000 3.625 22-Aug-97 27-Aug-97 1,000 3.75 22-Aug-97 27-Aug-97 1,000 3.75 22-Aug-97 27-Aug-97 1,000 3.625 22-Aug-97 27-Aug-97 1,000 3.625 22-Aug-97 27-Aug-97 2,000 3.75 22-Aug-97 27-Aug-97 2,000 3.75 22-Aug-97 27-Aug-97 2,000 3.5625 25-Aug-97 28-Aug-97 700 3.5 25-Aug-97 28-Aug-97 200 3 15/32 28-Aug-97 3-Sep-97 700 3 15/32 28-Aug-97 3-Sep-97 300 3.4375 28-Aug-97 3-Sep-97 1,000 3.4375 28-Aug-97 3-Sep-97 2,500 3.375 28-Aug-97 3-Sep-97 1,000 3.4375 28-Aug-97 3-Sep-97 400 3 15/32 28-Aug-97 3-Sep-97 1,700 3.5 29-Aug-97 4-Sep-97 1,000 3.5 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 1,000 3.5 29-Aug-97 4-Sep-97 5,000 3.375 29-Aug-97 4-Sep-97 700 3.5 29-Aug-97 4-Sep-97 800 3.375 29-Aug-97 4-Sep-97 1,500 3.5625 29-Aug-97 4-Sep-97
- ---------------------------------------------------------------------- PAGE 1 SCHEDULE IV Neuromedical Systems, Inc. Cusip No. 64124H109 - -----------------------------------------------------------------------
Purchases Sales Price Trade Date Settlement Date - --------- ----- ----- ---------- --------------- 2,000 3.5 29-Aug-97 4-Sep-97 1,500 3.5625 29-Aug-97 4-Sep-97 3,000 3.5 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 1,500 3.5625 29-Aug-97 4-Sep-97 1,000 3.5 29-Aug-97 4-Sep-97 1,000 3.5625 29-Aug-97 4-Sep-97 300 3.5 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 1,000 3.375 2-Sep-97 5-Sep-97 5,000 3.3125 2-Sep-97 5-Sep-97 1,000 3.3125 2-Sep-97 5-Sep-97 300 3 15/32 2-Sep-97 5-Sep-97 1,000 3.4375 2-Sep-97 5-Sep-97 1,000 3.3125 2-Sep-97 5-Sep-97 3,000 3.5 2-Sep-97 5-Sep-97 1,000 3.4375 2-Sep-97 5-Sep-97 1,000 3.375 2-Sep-97 5-Sep-97 2,000 3.45 2-Sep-97 5-Sep-97 1,000 3.3125 2-Sep-97 5-Sep-97 1,000 3.3125 2-Sep-97 5-Sep-97 300 3 15/32 2-Sep-97 5-Sep-97 3,000 3.3125 2-Sep-97 5-Sep-97 4,700 3.4375 2-Sep-97 5-Sep-97 1,000 3.4375 2-Sep-97 5-Sep-97 1,500 3.25 3-Sep-97 8-Sep-97 5,000 3.25 3-Sep-97 8-Sep-97 1,000 3.25 3-Sep-97 8-Sep-97 1,000 3 4-Sep-97 9-Sep-97 200 3.09375 4-Sep-97 9-Sep-97 1,000 3 4-Sep-97 9-Sep-97 500 3.09375 4-Sep-97 9-Sep-97 2,000 3 5-Sep-97 10-Sep-97 1,000 3 5-Sep-97 10-Sep-97 700 2.875 8-Sep-97 11-Sep-97 2,000 2 15/16 8-Sep-97 11-Sep-97 1,000 2 31/32 8-Sep-97 11-Sep-97 1,000 2 31/32 8-Sep-97 11-Sep-97 400 2.875 8-Sep-97 11-Sep-97 1,000 2.875 8-Sep-97 11-Sep-97 1,000 2 15/16 9-Sep-97 12-Sep-97 2,000 3.03125 9-Sep-97 12-Sep-97 700 3 9-Sep-97 12-Sep-97 5,000 2 31/32 9-Sep-97 12-Sep-97 14,000 2 31/32 9-Sep-97 12-Sep-97 1,000 2 31/32 9-Sep-97 12-Sep-97 1,000 2 15/16 9-Sep-97 12-Sep-97 1,000 2 15/16 9-Sep-97 12-Sep-97
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Purchases Sales Price Trade Date Settlement Date - --------- ----- ----- ---------- --------------- 5,000 3 9-Sep-97 12-Sep-97 500 2 31/32 9-Sep-97 12-Sep-97 5,000 2 31/32 9-Sep-97 12-Sep-97 5,300 3 9-Sep-97 12-Sep-97 2,000 2 31/32 9-Sep-97 12-Sep-97 1,300 3 9-Sep-97 12-Sep-97 3,000 3 9-Sep-97 12-Sep-97 1,000 2 15/16 9-Sep-97 12-Sep-97 13,000 3.042 9-Sep-97 12-Sep-97 2,500 2 31/32 9-Sep-97 12-Sep-97 10,000 3.0625 9-Sep-97 12-Sep-97 2,000 2 31/32 9-Sep-97 12-Sep-97 1,000 2 15/16 9-Sep-97 12-Sep-97 3,000 2 31/32 9-Sep-97 12-Sep-97 22,000 3.042 9-Sep-97 12-Sep-97 2,000 3 9-Sep-97 12-Sep-97 1,000 2 15/16 9-Sep-97 12-Sep-97 1,000 3 9-Sep-97 12-Sep-97 2,000 2 15/16 9-Sep-97 12-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97 2,000 4.0625 10-Sep-97 15-Sep-97 2,000 3.875 10-Sep-97 15-Sep-97 2,000 4.0625 10-Sep-97 15-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97 1,000 4.0625 10-Sep-97 15-Sep-97 1,000 3.5 10-Sep-97 15-Sep-97 15,000 3.97 10-Sep-97 15-Sep-97 1,000 4.125 10-Sep-97 15-Sep-97 1,000 4.1875 10-Sep-97 15-Sep-97 950 4.125 10-Sep-97 15-Sep-97 1,000 3.625 10-Sep-97 15-Sep-97 1,000 4.0625 10-Sep-97 15-Sep-97 1,000 3.5 10-Sep-97 15-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97 2,500 3.875 10-Sep-97 15-Sep-97 1,000 4.0625 10-Sep-97 15-Sep-97 2,500 3 29/32 10-Sep-97 15-Sep-97 1,000 3.5 10-Sep-97 15-Sep-97 2,500 3 15/16 10-Sep-97 15-Sep-97 600 3.875 10-Sep-97 15-Sep-97 1,000 4.0625 10-Sep-97 15-Sep-97 1,000 3.375 10-Sep-97 15-Sep-97 3,000 4.0625 10-Sep-97 15-Sep-97 2,500 4.26875 10-Sep-97 15-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97 1,000 4 10-Sep-97 15-Sep-97 1,000 3.875 10-Sep-97 15-Sep-97
- ----------------------------------------------------------------------- PAGE 3 SCHEDULE IV Neuromedical Systems, Inc. Cusip No. 64124H109 - ------------------------------------------------------------------------
Purchases Sales Price Trade Date Settlement Date - --------- ----- ----- ---------- --------------- 5,000 3.875 10-Sep-97 15-Sep-97 1,000 4.0625 10-Sep-97 15-Sep-97 1,000 3.625 10-Sep-97 15-Sep-97 2,000 4.0625 10-Sep-97 15-Sep-97 7,500 4.125 10-Sep-97 15-Sep-97 1,000 4.0625 10-Sep-97 15-Sep-97 2,500 4 10-Sep-97 15-Sep-97 1,000 3.625 10-Sep-97 15-Sep-97 1,300 4 10-Sep-97 15-Sep-97 1,000 3 25/32 11-Sep-97 16-Sep-97 1,000 3 15/16 11-Sep-97 16-Sep-97 2,700 3 13/16 11-Sep-97 16-Sep-97 1,000 4 11-Sep-97 16-Sep-97 5,000 3.875 11-Sep-97 16-Sep-97 696 3 27/32 11-Sep-97 16-Sep-97 500 3 13/16 11-Sep-97 16-Sep-97 200 3 13/16 11-Sep-97 16-Sep-97 2,700 3.875 12-Sep-97 17-Sep-97 1,000 3 29/32 12-Sep-97 17-Sep-97 15,000 3.875 12-Sep-97 17-Sep-97 2,000 3.875 12-Sep-97 17-Sep-97 6,000 3 29/32 12-Sep-97 17-Sep-97 60,000 3.8789 15-Sep-97 18-Sep-97 1,000 3.875 15-Sep-97 18-Sep-97 2,000 3 29/32 15-Sep-97 18-Sep-97 2,000 3 15/16 15-Sep-97 18-Sep-97 2,300 3.875 15-Sep-97 18-Sep-97 2,000 3 15/16 15-Sep-97 18-Sep-97 5,000 3 29/32 15-Sep-97 18-Sep-97 1,000 3.875 15-Sep-97 18-Sep-97 1,000 3.875 15-Sep-97 18-Sep-97 2,500 3 29/32 15-Sep-97 18-Sep-97 2,000 3.875 15-Sep-97 18-Sep-97 1,000 3.875 15-Sep-97 18-Sep-97 2,000 3 15/16 15-Sep-97 18-Sep-97 500 3.875 15-Sep-97 18-Sep-97 3,000 3 29/32 15-Sep-97 18-Sep-97 1,000 3.875 15-Sep-97 18-Sep-97 1,300 3 29/32 15-Sep-97 18-Sep-97 13,000 3 29/32 15-Sep-97 18-Sep-97 2,700 3 29/32 15-Sep-97 18-Sep-97 2,000 3 29/32 15-Sep-97 18-Sep-97 1,000 3.875 15-Sep-97 18-Sep-97 15,000 3 29/32 15-Sep-97 18-Sep-97 30 3.875 15-Sep-97 18-Sep-97 1,000 3.75 16-Sep-97 19-Sep-97 1,000 3 15/16 16-Sep-97 19-Sep-97 4,000 3.75 17-Sep-97 22-Sep-97 4,000 3.75 17-Sep-97 22-Sep-97 1,000 3 15/16 18-Sep-97 23-Sep-97
- --------------------------------------------------------------- PAGE 4 SCHEDULE IV Neuromedical Systems, Inc. Cusip No. 64124H109 - -----------------------------------------------------------------------
Purchases Sales Price Trade Date Settlement Date - --------- ----- ----- ---------- --------------- 500 3 15/16 18-Sep-97 23-Sep-97 500 3 13/16 19-Sep-97 24-Sep-97 3,500 3.8975 19-Sep-97 24-Sep-97 1,500 4 19-Sep-97 24-Sep-97 1,000 4.1875 19-Sep-97 24-Sep-97 1,000 4.1875 19-Sep-97 24-Sep-97 2,500 4.1875 19-Sep-97 24-Sep-97 1,000 4.125 19-Sep-97 24-Sep-97 1,000 4.125 19-Sep-97 24-Sep-97 2,500 4.085 19-Sep-97 24-Sep-97 1,000 4.125 19-Sep-97 24-Sep-97 3,700 4.125 19-Sep-97 24-Sep-97 1,000 4 19-Sep-97 24-Sep-97 1,500 3.96 19-Sep-97 24-Sep-97 1,000 4.1875 19-Sep-97 24-Sep-97 1,000 4.125 19-Sep-97 24-Sep-97 2,500 3.8975 19-Sep-97 24-Sep-97 1,000 4.1875 19-Sep-97 24-Sep-97 2,700 4.125 19-Sep-97 24-Sep-97 1,000 3 15/16 19-Sep-97 24-Sep-97 1,000 4 19-Sep-97 24-Sep-97 1,000 3 15/16 19-Sep-97 24-Sep-97 1,000 4.125 19-Sep-97 24-Sep-97 11,000 4.075 19-Sep-97 24-Sep-97 5,000 4.1875 19-Sep-97 24-Sep-97 2,500 4.1875 19-Sep-97 24-Sep-97 6,500 4.075 19-Sep-97 24-Sep-97 1,000 4.125 22-Sep-97 25-Sep-97 500 3 15/16 22-Sep-97 25-Sep-97 1,700 4.0625 22-Sep-97 25-Sep-97 10,000 4.0625 22-Sep-97 25-Sep-97 1,000 3 15/16 22-Sep-97 25-Sep-97 1,000 4 22-Sep-97 25-Sep-97 1,000 4.0625 22-Sep-97 25-Sep-97 1,000 3 15/16 22-Sep-97 25-Sep-97 1,000 4.0625 22-Sep-97 25-Sep-97 15,000 4.0625 22-Sep-97 25-Sep-97 2,500 4.0125 22-Sep-97 25-Sep-97 3,000 4.125 22-Sep-97 25-Sep-97 1,000 4.125 22-Sep-97 25-Sep-97 2,500 4.0625 22-Sep-97 25-Sep-97 3,000 4.125 22-Sep-97 25-Sep-97 1,000 3 15/16 22-Sep-97 25-Sep-97 1,000 3 15/16 22-Sep-97 25-Sep-97 5,000 3 15/16 23-Sep-97 26-Sep-97 2,700 3 15/16 23-Sep-97 26-Sep-97 10,000 3 31/32 23-Sep-97 26-Sep-97 1,100 3.98438 23-Sep-97 26-Sep-97 2,000 3.9775 23-Sep-97 26-Sep-97 1,000 3 15/16 23-Sep-97 26-Sep-97
- ----------------------------------------------------------------------- PAGE 5 SCHEDULE IV Neuromedical Systems, Inc. Cusip No. 64124H109 - -----------------------------------------------------------------------
Purchases Sales Price Trade Date Settlement Date - --------- ----- ----- ---------- --------------- 15,000 3.8975 23-Sep-97 26-Sep-97 1,000 3.9775 23-Sep-97 26-Sep-97 500 3 25/32 21-Aug-97 26-Aug-97 1,000 3.4375 2-Sep-97 5-Sep-97 3,500 3.951 19-Sep-97 24-Sep-97 1,000 3.951 19-Sep-97 24-Sep-97 3,000 3.951 19-Sep-97 24-Sep-97 1,300 3.951 19-Sep-97 24-Sep-97 4,500 3.951 19-Sep-97 24-Sep-97 7,500 4.125 11-Aug-97 14-Aug-97 7,500 3.951 19-Sep-97 24-Sep-97 200 3.09375 4-Sep-97 9-Sep-97 1,500 3.96 19-Sep-97 24-Sep-97 2,500 4.085 19-Sep-97 24-Sep-97 3,500 3.8975 19-Sep-97 24-Sep-97 2,500 3.8975 19-Sep-97 24-Sep-97 15,000 3.8975 23-Sep-97 26-Sep-97 35,000 3.0625 9-Sep-97 12-Sep-97 3,000 3.0625 9-Sep-97 12-Sep-97 10,000 3.875 10-Sep-97 15-Sep-97 30,000 3 15/16 10-Sep-97 15-Sep-97 11,000 4.125 10-Sep-97 15-Sep-97 6,000 4.0625 10-Sep-97 15-Sep-97 10,000 3.625 10-Sep-97 15-Sep-97 1,000 3 29/32 10-Sep-97 15-Sep-97 5,000 4.09375 10-Sep-97 15-Sep-97 194,000 3.875 10-Sep-97 15-Sep-97 10,000 3.5625 10-Sep-97 15-Sep-97 11,000 3 11/16 10-Sep-97 15-Sep-97 1,000 4.1875 19-Sep-97 24-Sep-97 100,000 3 15/16 19-Sep-97 24-Sep-97 6,500 4.125 19-Sep-97 24-Sep-97 6,000 3.871 10-Sep-97 15-Sep-97 3,500 4.125 11-Aug-97 14-Aug-97 3,500 3.951 19-Sep-97 24-Sep-97 6,500 3.063 9-Sep-97 12-Sep-97 7,000 3 15/16 19-Sep-97 24-Sep-97 6,500 4.125 11-Aug-97 14-Aug-97 6,500 3 15/16 15-Sep-97 18-Sep-97 36,500 3.871 10-Sep-97 15-Sep-97 12,500 3 9-Sep-97 12-Sep-97 8,500 4.125 11-Aug-97 14-Aug-97 8,500 3 15/16 15-Sep-97 18-Sep-97 5,000 3.871 10-Sep-97 15-Sep-97 10,000 3 15/16 19-Sep-97 24-Sep-97 7,000 3.063 9-Sep-97 12-Sep-97 18,000 3 9-Sep-97 12-Sep-97 32,000 3.871 10-Sep-97 15-Sep-97 9,000 3.871 10-Sep-97 15-Sep-97 6,000 3.871 10-Sep-97 15-Sep-97
- ----------------------------------------------------------------------- PAGE 6 SCHEDULE IV Neuromedical Systems, Inc. Cusip No. 64124H109 - -----------------------------------------------------------------------
Purchases Sales Price Trade Date Settlement Date - --------- ----- ----- ---------- --------------- 16,000 3.871 10-Sep-97 15-Sep-97 13,500 3.063 9-Sep-97 12-Sep-97 2,000 3.0625 9-Sep-97 12-Sep-97 5,000 3.887 10-Sep-97 15-Sep-97 9,500 3.871 10-Sep-97 15-Sep-97 20,500 3 9-Sep-97 12-Sep-97 12,000 3.871 10-Sep-97 15-Sep-97 30,000 3.871 10-Sep-97 15-Sep-97 35,000 3.871 10-Sep-97 15-Sep-97 18,000 4.125 11-Aug-97 14-Aug-97 18,000 3.951 19-Sep-97 24-Sep-97 4,000 3.871 10-Sep-97 15-Sep-97 6,500 3.871 10-Sep-97 15-Sep-97 27,500 4.125 11-Aug-97 14-Aug-97 27,500 3.951 19-Sep-97 24-Sep-97 19,500 3.951 19-Sep-97 24-Sep-97 8,500 4.125 11-Aug-97 14-Aug-97 5,000 3 15/16 16-Sep-97 19-Sep-97 3,500 3 15/16 18-Sep-97 23-Sep-97 7,500 3 15/16 23-Sep-97 26-Sep-97 5,500 3.063 9-Sep-97 12-Sep-97 8,000 4.125 11-Aug-97 14-Aug-97 8,000 3.951 19-Sep-97 24-Sep-97 5,500 3.063 9-Sep-97 12-Sep-97 35,000 4.125 11-Aug-97 14-Aug-97 35,000 3 15/16 18-Sep-97 23-Sep-97 6,500 4.125 11-Aug-97 14-Aug-97 6,500 3.951 19-Sep-97 24-Sep-97 10,500 3.871 10-Sep-97 15-Sep-97 7,000 3 9-Sep-97 12-Sep-97 2,000 3 9-Sep-97 12-Sep-97 8,000 3.871 10-Sep-97 15-Sep-97 12,500 3.887 10-Sep-97 15-Sep-97 6,000 3.871 10-Sep-97 15-Sep-97 3,500 3.887 10-Sep-97 15-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 1,500 3.5625 29-Aug-97 4-Sep-97 1,500 3.5625 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 1,000 3.5625 29-Aug-97 4-Sep-97 2,000 3.5625 29-Aug-97 4-Sep-97 1,500 3.5625 29-Aug-97 4-Sep-97
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