UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | Â (1) | 02/03/2014 | Common Stock | 50,000 (5) | $ 0.4 | D | Â |
Employee Stock Option (Right to Buy) | Â (2) | 02/01/2015 | Common Stock | 22,500 | $ 0.4 | D | Â |
Employee Stock Option (Right to Buy) | Â (3) | 08/03/2015 | Common Stock | 2,000 | $ 0.54 | D | Â |
Employee Stock Option (Right to Buy) | Â (4) | 05/01/2016 | Common Stock | 56,500 | $ 3.5 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Walsh Brian J C/O XTENT, INC. 125 CONSTITUTION DRIVE MENLO PARK, CA 94025 |
 |  |  VP Sales and Marketing |  |
/s/ Brian J. Walsh | 01/31/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | All shares subject to the option may be exercised immediately but vest as to 12/48 on 02/02/2005 and 1/48 per month thereafter. |
(2) | All shares subject to the option may be exercised immediately but vest as to 1/48 per month following the vesting commencement date of 02/01/2005. |
(3) | All shares subject to the option may be exercised immediately but vest as to 1/48 per month following the vesting commencement date of 08/03/2005. |
(4) | All shares subject to the option may be exercised immediately but vest as to 1/48 per month following the vesting commencement date of 05/01/2006. |
(5) | Reflects the number of outstanding shares subject to the option after the exercise of 50,000 shares by Mr. Walsh. |
 Remarks: The Date of Event is based upon the date of effectiveness of the Issuer's Registration Statement on Form S-1 filed in connection with the Issuer's initial public offering, estimated to be on or about January 31, 2007. |