WORLD HEART CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 29 rows, 29 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-08-02: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4; Security Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-08-02: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4; Security Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-08-02: Reporting owner VENROCK ASSOCIATES V LP | Venrock Partners Management V, LLC | Venrock Management V, LLC | VENROCK PARTNERS V L P | Venrock Entrepreneurs Fund V, L.P. | VEF Management V, LLC; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-08-02: Reporting owner Hove Anders D; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-08-02 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,461,825 0 owned after | $0.10 | 2012-08-09 | |
| 2012-08-02 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −388,350 0 owned after | $4.90 exercise price | 2012-08-09 | |
| 2012-08-02 | VENROCK ASSOCIATES V LP | Venrock Partners Management V, LLC | Venrock Management V, LLC | VENROCK PARTNERS V L P | Venrock Entrepreneurs Fund V, L.P. | VEF Management V, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · By Funds | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,107,728 0 owned after | $0.10 | 2012-08-06 | |
| 2012-08-02 | Hove Anders D Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · By Funds | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,107,728 0 owned after | $0.10 | 2012-08-06 | |
| 2012-08-02 | New Leaf Venture Management II, L.L.C. | NIEDEL JAMES | Chambon Philippe O. | New Leaf Ventures II, L.P. | HUNT RONALD | Lathi Vijay K | AKKARAJU SRINIVAS | New Leaf Venture Associates II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,341,920 0 owned after | $0.10 | 2012-08-06 | |
| 2012-08-02 | Delagardelle Jeani Director, 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,341,920 0 owned after | $0.10 | 2012-08-06 | |
| 2012-08-02 | Camber Capital Management LLC 10% Owner | 4 | Warrants Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −1,639,345 0 owned after | $84.11 | 2012-08-06 | |
| 2011-04-26 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | −388,350 0 owned after | $4.90 exercise price | 2011-04-29 | |
| 2010-10-25 holding as of filing | Camber Capital Management LLC 10% Owner | 3 | Warrants Derivative · Indirect · See Footnote | Holding | $2.31 exercise price | 2010-10-25 | ||
| 2010-10-19 | Delagardelle Jeani Director, 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See Footnote 2 | P Open market or private purchase of non-derivative or derivative security | +2,341,920 2,341,920 owned after | $2.14 | 2010-10-21 | |
| 2010-10-19 | NIEDEL JAMES | New Leaf Ventures II, L.P. | CHAMBON PHILIPPE | New Leaf Venture Management II, L.L.C. | Lathi Vijay K | New Leaf Venture Associates II, L.P. | HUNT RONALD | AKKARAJU SRINIVAS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,341,920 2,341,920 owned after | $2.14 | 2010-10-21 | |
| 2010-10-19 | VEF Management V, LLC | Venrock Entrepreneurs Fund V, L.P. | Venrock Partners Management V, LLC | VENROCK PARTNERS V L P | VENROCK ASSOCIATES V LP | Venrock Management V, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +2,107,728 2,107,728 owned after | $2.14 | 2010-10-21 | |
| 2010-10-19 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +2,461,825 2,461,825 owned after | $0.13 | 2010-10-21 | |
| 2010-01-26 | NIEDEL JAMES | New Leaf Ventures II, L.P. | New Leaf Venture Management II, L.L.C. | HUNT RONALD | CHAMBON PHILIPPE | New Leaf Venture Associates II, L.P. | Lathi Vijay K | AKKARAJU SRINIVAS | LAPORTE KATHLEEN 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $5.15 | 2010-01-28 | |
| 2010-01-26 | NIEDEL JAMES | New Leaf Ventures II, L.P. | New Leaf Venture Management II, L.L.C. | HUNT RONALD | CHAMBON PHILIPPE | New Leaf Venture Associates II, L.P. | Lathi Vijay K | AKKARAJU SRINIVAS | LAPORTE KATHLEEN 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +388,350 776,700 owned after | $5.15 | 2010-01-28 | |
| 2010-01-26 | Delagardelle Jeani Director, 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See Footnote 2 | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $5.15 | 2010-01-28 | |
| 2010-01-26 | Delagardelle Jeani Director, 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See Footnote 2 | P Open market or private purchase of non-derivative or derivative security | +388,350 776,700 owned after | $5.15 | 2010-01-28 | |
| 2010-01-26 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $4.90 exercise price | 2010-01-28 | |
| 2010-01-26 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $4.90 exercise price | 2010-01-28 | |
| 2010-01-21 | Hove Anders D Director, 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $5.15 | 2010-01-26 | |
| 2010-01-21 | Hove Anders D Director, 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $5.15 | 2010-01-26 | |
| 2010-01-21 | VEF Management V, LLC | Venrock Management V, LLC | VENROCK PARTNERS V L P | Venrock Partners Management V, LLC | Venrock Entrepreneurs Fund V, L.P. | VENROCK ASSOCIATES V LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $5.15 | 2010-01-26 | |
| 2010-01-21 | VEF Management V, LLC | Venrock Management V, LLC | VENROCK PARTNERS V L P | Venrock Partners Management V, LLC | Venrock Entrepreneurs Fund V, L.P. | VENROCK ASSOCIATES V LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +388,350 388,350 owned after | $5.15 | 2010-01-26 | |
| 2008-09-22 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrant Derivative · Indirect · By Limited Partnership | J Other acquisition or disposition (describe transaction) | −10,754,133 0 owned after | $74.17 exercise price | 2008-09-24 | |
| 2008-07-31 | ABIOMED INC 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −3,400,000 0 owned after | no price filed | 2008-08-04 | |
| 2007-12-20 holding as of filing | ABIOMED INC 10% Owner | 3 | Warrant (right to buy) Derivative · Direct | Holding | $0.01 exercise price | 2007-12-20 | ||
| 2005-12-31 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrant Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | +6,117,036 10,754,133 owned after | $5.88 exercise price | 2006-01-04 | |
| 2005-07-26 | WALKER SMITH CAPITAL L P | Walker Smith Capital QP L P | WALKER SMITH INTERNATIONAL FUND LTD Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4/A | Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −1,600,000 0 owned after | $1.00 exercise price | 2006-02-13 | |
| 2005-07-26 | WS Opportunity Fund QP L P | WS Opportunity Fund L P | WS VENTURES MANAGEMENT L P | WALKER REID S | WS CAPITAL MANAGEMENT LP | WS OPPORTUNITY FUND INTERNATIONAL LTD | SMITH G STACY | WS CAPITAL LLC | WALKER PATRICK P | WSV MANAGEMENT L L C Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | Other (Former 10% Holder) | 4/A | Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −1,600,000 0 owned after | $1.00 exercise price | 2006-02-13 |