SOLTA MEDICAL INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 55 rows, 55 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-11-15: Reporting owner ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC; Form 4; Security Series C Convertible Preferred Stock Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2006-11-15: Reporting owner ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC; Form 4; Security Series C Convertible Preferred Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2006-11-15: Reporting owner ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC; Form 4; Security Series C Convertible Preferred Stock; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2006-11-15: Reporting owner ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC; Form 4; Security Series C Convertible Preferred Stock Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2006-11-15 | ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −88,889 0 owned after | $4.50 exercise price | 2006-11-17 | |
| 2006-11-15 | ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +88,889 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −60,637 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −66,667 0 owned after | $4.50 exercise price | 2006-11-17 | |
| 2006-11-15 | ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +66,667 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −45,478 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | ESSEX WOODLANDS HEALTH VENTURES FUND V LP | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,604,996 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | TP MANAGEMENT VII LLC | TECHNOLOGY PARTNERS FUND VII LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Technology Partners Fund VII, L.P. | C Conversion of derivative security | −1,601,025 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | TP MANAGEMENT VII LLC | TECHNOLOGY PARTNERS FUND VII LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Technology Partners Affiliates VII, L.P. | C Conversion of derivative security | −99,121 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | COLELLA SAMUEL D | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP Director | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Institutional Venture Partners VII, L.P. | C Conversion of derivative security | −922,400 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | COLELLA SAMUEL D | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP Director | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Institutional Venture Partners VII, L.P. | C Conversion of derivative security | −739,623 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | COLELLA SAMUEL D | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP Director | Director, 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Institutional Venture Partners VII, L.P. | C Conversion of derivative security | −1,084,535 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | COLELLA SAMUEL D | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP Director | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Institutional Venture Management VII, L.P. | C Conversion of derivative security | −19,311 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | COLELLA SAMUEL D | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP Director | Director, 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Institutional Venture Management VII, L.P. | C Conversion of derivative security | −15,094 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | COLELLA SAMUEL D | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP Director | Director, 10% Owner | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Institutional Venture Management VII, L.P. | C Conversion of derivative security | −22,133 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | COLELLA SAMUEL D | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP Director | Director, 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By IVP Founders Fund I, L.P. | C Conversion of derivative security | −23,836 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | Morgenthaler Management Partners V, LLC | MORGENTHALER VENTURE PARTNERS V LP 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,132,075 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | Morgenthaler Management Partners V, LLC | MORGENTHALER VENTURE PARTNERS V LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −666,666 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | Morgenthaler Management Partners VII, LLC | MORGENTHALER PARTNERS VII LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −941,413 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | Shaffer Gary Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Morgenthaler Venture Partners V, L.P. | C Conversion of derivative security | −1,132,075 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | Shaffer Gary Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Morgenthaler Venture Partners V, L.P. | C Conversion of derivative security | −666,666 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | Shaffer Gary Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Morgenthaler Partners VII, L.P. | C Conversion of derivative security | −941,413 0 owned after | no price filed | 2006-11-17 | |
| 2006-11-15 | DELPHI VENTURES V LP | DELPHI MANAGEMENT PARTNERS V LLC | DELPHI BIOINVESTMENTS V LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Delphi Ventures V, L.P. | C Conversion of derivative security | −681,498 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-15 | DELPHI VENTURES V LP | DELPHI MANAGEMENT PARTNERS V LLC | DELPHI BIOINVESTMENTS V LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Delphi BioInvestments V, L.P. | C Conversion of derivative security | −7,391 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-15 | Draper Fisher Jurvetson ePlanet Partners, Ltd. | DRAPER FISHER JURVETSON EPLANET VENTURES LP 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,359,872 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-15 | TECHNOLOGY PARTNERS FUND VI LP | TP Management VI, LLC 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −664,739 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-15 | BYRNES ROBERT F Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Byrnes 1998 Generational Trust | C Conversion of derivative security | −44,000 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-15 | Byrnes Andrea F 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Byrnes 1998 Generational Trust | C Conversion of derivative security | −44,000 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-14 | DELPHI VENTURES V LP | DELPHI MANAGEMENT PARTNERS V LLC | DELPHI BIOINVESTMENTS V LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Indirect · By Delphi Ventures V, L.P. | X Exercise of in-the-money or at-the-money derivative security | −21,984 0 owned after | $4.50 exercise price | 2006-11-16 | |
| 2006-11-14 | DELPHI VENTURES V LP | DELPHI MANAGEMENT PARTNERS V LLC | DELPHI BIOINVESTMENTS V LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Delphi Ventures V, L.P. | X Exercise of in-the-money or at-the-money derivative security | +21,984 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-14 | DELPHI VENTURES V LP | DELPHI MANAGEMENT PARTNERS V LLC | DELPHI BIOINVESTMENTS V LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Indirect · By Delphi BioInvestments V, L.P. | X Exercise of in-the-money or at-the-money derivative security | −239 0 owned after | $4.50 exercise price | 2006-11-16 | |
| 2006-11-14 | DELPHI VENTURES V LP | DELPHI MANAGEMENT PARTNERS V LLC | DELPHI BIOINVESTMENTS V LP 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By Delphi BioInvestments V, L.P. | X Exercise of in-the-money or at-the-money derivative security | +239 0 owned after | no price filed | 2006-11-16 | |
| 2006-11-09 holding as of filing | DELPHI VENTURES V LP | DELPHI BIOINVESTMENTS V LP | DELPHI MANAGEMENT PARTNERS V LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Delphi Ventures V, L.P. | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | DELPHI VENTURES V LP | DELPHI BIOINVESTMENTS V LP | DELPHI MANAGEMENT PARTNERS V LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Delphi BioInvestments V, L.P. | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | DELPHI VENTURES V LP | DELPHI BIOINVESTMENTS V LP | DELPHI MANAGEMENT PARTNERS V LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Indirect · By Delphi Ventures V, L.P. | Holding | $4.50 exercise price | 2006-11-09 | ||
| 2006-11-09 holding as of filing | DELPHI VENTURES V LP | DELPHI BIOINVESTMENTS V LP | DELPHI MANAGEMENT PARTNERS V LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Indirect · By Delphi BioInvestments V, L.P. | Holding | $4.50 exercise price | 2006-11-09 | ||
| 2006-11-09 holding as of filing | TP MANAGEMENT VII LLC | TECHNOLOGY PARTNERS FUND VII LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | TP MANAGEMENT VII LLC | TECHNOLOGY PARTNERS FUND VII LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | TP Management VI, LLC | TECHNOLOGY PARTNERS FUND VI LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC | ESSEX WOODLANDS HEALTH VENTURES FUND V LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC | ESSEX WOODLANDS HEALTH VENTURES FUND V LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $4.50 exercise price | 2006-11-09 | ||
| 2006-11-09 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND V LLC | ESSEX WOODLANDS HEALTH VENTURES FUND V LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Warrant (right to buy) Derivative · Direct | Holding | $4.50 exercise price | 2006-11-09 | ||
| 2006-11-09 holding as of filing | Draper Fisher Jurvetson ePlanet Partners, Ltd. | DRAPER FISHER JURVETSON EPLANET VENTURES LP 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | Morgenthaler Management Partners V, LLC | MORGENTHALER PARTNERS VII LP | Morgenthaler Management Partners VII, LLC | MORGENTHALER VENTURE PARTNERS V LP | Shaffer Gary Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | Morgenthaler Management Partners V, LLC | MORGENTHALER PARTNERS VII LP | Morgenthaler Management Partners VII, LLC | MORGENTHALER VENTURE PARTNERS V LP | Shaffer Gary Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | Morgenthaler Management Partners V, LLC | MORGENTHALER PARTNERS VII LP | Morgenthaler Management Partners VII, LLC | MORGENTHALER VENTURE PARTNERS V LP | Shaffer Gary Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP | COLELLA SAMUEL D Director, 10% Owner | Director, 10% Owner | Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP | COLELLA SAMUEL D Director, 10% Owner | Director, 10% Owner | Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP | COLELLA SAMUEL D Director, 10% Owner | Director, 10% Owner | Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP | COLELLA SAMUEL D Director, 10% Owner | Director, 10% Owner | Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP | COLELLA SAMUEL D Director, 10% Owner | Director, 10% Owner | Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP | COLELLA SAMUEL D Director, 10% Owner | Director, 10% Owner | Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | INSTITUTIONAL VENTURE PARTNERS VII | INSTITUTIONAL VENTURE MANAGEMENT VII LP | COLELLA SAMUEL D Director, 10% Owner | Director, 10% Owner | Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | BYRNES ROBERT F Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2006-11-09 | ||
| 2006-11-09 holding as of filing | Byrnes Andrea F 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · By Byrnes 1998 Generational Trust | Holding | no price filed | 2006-11-09 |