FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/27/2004 |
3. Issuer Name and Ticker or Trading Symbol
FOXHOLLOW TECHNOLOGIES, INC. [ FOXH ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 267,500 | I(1) | By Simpson Family Trust |
Common Stock | 2,000 | I | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Stock | (4) | (5) | Common Stock | 125,000 | (6) | I(1) | By Simpson Family Trust |
Series A Convertible Preferred Stock | (4) | (5) | Common Stock | 4,375 | (6) | I | By Spouse |
Series A Convertible Preferred Stock | (4) | (5) | Common Stock | 125,000 | (6) | I(1) | By Fox Hollow, LP |
Series B Convertible Preferred Stock | (4) | (5) | Common Stock | 46,296 | (7) | I(1) | By Simpson Family Trust |
Series B Convertible Preferred Stock | (4) | (5) | Common Stock | 46,296 | (7) | I(1) | By Fox Hollow, LP |
Series C Convertible Preferred Stock | (4) | (5) | Common Stock | 351,227 | (6) | I(1) | By Simpson Family Trust |
Series C Convertible Preferred Stock | (4) | (5) | Common Stock | 1,378 | (6) | I | By Spouse |
Series C Convertible Preferred Stock | (4) | (5) | Common Stock | 202,624 | (6) | I(8) | By De Novo (Q) Ventures I |
Series C Convertible Preferred Stock | (4) | (5) | Common Stock | 40,094 | (6) | I(8) | By De Novo Ventures I |
Series C Convertible Preferred Stock | (4) | (5) | Common Stock | 124,140 | (6) | I(2) | By JD Simpson Trust |
Series D Convertible Preferred Stock | (4) | (5) | Common Stock | 328,954 | (6) | I(2) | By JD Simpson Trust |
Series D Convertible Preferred Stock | (4) | (5) | Common Stock | 2,808,476 | (6) | I(1) | By Simpson Family Trust |
Series D Convertible Preferred Stock | (4) | (5) | Common Stock | 16,447 | (6) | I(1) | By Fox Hollow, LP |
Series D Convertible Preferred Stock | (4) | (5) | Common Stock | 1,098,433 | (6) | I(8) | By De Novo (Q) Ventures I |
Series D Convertible Preferred Stock | (4) | (5) | Common Stock | 217,356 | (6) | I(8) | By De Novo Ventures I |
Series D Convertible Preferred Stock | (4) | (5) | Common Stock | 48,793 | (6) | I | By Spouse |
Series D Convertible Preferred Stock | (4) | (5) | Common Stock | 250,000 | (6) | I(3) | By John B. Simpson Annuity Trust |
Series D Convertible Preferred Stock Warrant (Right to Buy) | (4) | 11/05/2009 | Common Stock | 27,091 | $3.04 | I(8) | By De Novo (Q)Ventures I |
Series D Convertible Preferred Stock Warrant (Right to Buy) | (4) | 11/05/2009 | Common Stock | 5,360 | $3.04 | I(8) | By De Novo Ventures I |
Series E Convertible Preferred Stock | (4) | (5) | Common Stock | 1,399,999 | (6) | I(1) | By Simpson Family Trust |
Series E Convertible Preferred Stock | (4) | (5) | Common Stock | 431,318 | (6) | I(8) | By De Novo (Q) Ventures I |
Series E Convertible Preferred Stock | (4) | (5) | Common Stock | 85,347 | (6) | I(8) | By De Novo Ventures I |
Series E Convertible Preferred Stock | (4) | (5) | Common Stock | 83,333 | (6) | I(2) | By JD Simpson Trust |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Dr. Simpson disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
2. These securites are held in a trust for the benefit of Dr. Simpson's son of which Dr. Simpson serves as a trustee. Dr. Simpson disclaims beneficial ownership of these securities, and the filing of this report is not an admission that Dr. Simpson is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
3. These securities are owned directly by the John Bush Simpson Annuity Trust and indirectly by Dr. Simpson, as the trustee of the John Bush Simpson Annuity Trust. |
4. Immed. |
5. N/A |
6. 1-for-1 |
7. 1-for-1.367 |
8. Dr. Simpson is a managing director of De Novo Management, L.L.C., the general partner of De Novo (Q) Ventures I, L.P. and De Novo Ventures I, L.P. Dr. Simpson disclaims beneficial ownership of these securities except to the extent of his pecuniary interests therein. |
Remarks: |
This report is filed jointly by John B. Simpson and John Bush Simpson Annuity Trust, both of whom are 10% owners. 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 October 27, 2004. Exhibit List Exhibit 99 - Joint Filer Information |
/s/ John B. Simpson | 10/25/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |