SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Stockman Robert Bernard

(Last) (First) (Middle)
5751 COPLEY DRIVE, SUITE B

(Street)
SAN DIEGO CA 92111

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
REVA Medical, Inc. [ RVA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman and CEO
3. Date of Earliest Transaction (Month/Day/Year)
12/16/2010
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/16/2010 C 47,648(1) A (2) 47,648 D
Common Stock 12/16/2010 X 7,685(3) A $6.5066 55,333 D
Common Stock 12/16/2010 X 7,936(4) A $6.5066 63,269 D
Common Stock 12/16/2010 X 15,244(5) A $3.28 78,513 D
Common Stock 12/16/2010 C 212,402(6) A (2) 212,402 I By wife
Common Stock 12/16/2010 X 12,764(7) A $6.5066 225,166 I By wife
Common Stock 12/16/2010 X 2,552(7) A $6.5066 227,718 I By wife
Common Stock 12/16/2010 C 176,850 A (2) 735,750 I Group Outcome Investors I, LLC(8)
Common Stock 12/16/2010 C 109,375 A (2) 845,125 I Group Outcome Investors I, LLC(8)
Common Stock 12/16/2010 C 66,624 A (2) 911,749 I Group Outcome Investors I, LLC(8)
Common Stock 12/16/2010 C 204,918 A (2) 1,116,667 I Group Outcome Investors I, LLC(8)
Common Stock 12/16/2010 C 112,755(9) A $3.28 1,229,422 I Group Outcome Investors I, LLC(8)
Common Stock 12/16/2010 C 111,753(9) A $3.28 1,341,175 I Group Outcome Investors I, LLC(8)
Common Stock 12/16/2010 C 3,930 A (2) 67,359 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 C 421,875 A (2) 489,225 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 C 256,981 A (2) 746,206 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 C 204,918 A (2) 951,124 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 C 28,591(11) A (2) 979,715 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 C 112,754(9) A $3.28 1,092,469 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 X 5,340(12) A $3.28 1,097,809 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 X 1,872(13) A $6.5066 1,099,681 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Common Stock 12/16/2010 X 1,934(14) A $6.5066 1,101,615 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series H Preferred Stock (2) 12/16/2010 C 39,680 (2) (2) Common Stock 39,680 (2) 0 D
Warrant $6.5066 12/16/2010 X 7,685 05/23/2007 05/23/2011 Series H Preferred Stock 7,685 $6.5066 0 D
Warrant $6.5066 12/16/2010 X 7,936 12/07/2007 12/07/2012 Common Stock 7,936 $6.5066 0 D
CHESS Depository Interests(15) (15) 12/16/2010 P 200,000(16) (17) (17) Common Stock 20,000 (18) 200,000 D
Series H Preferred Stock (2) 12/16/2010 C 188,619 (2) (2) Common Stock 188,619 (2) 0 I By wife
Series A Preferred Stock (2) 12/16/2010 C 176,850 (2) (2) Common Stock 176,850 (2) 0 I Group Outcome Investors I, LLC(8)
Series B Preferred Stock (2) 12/16/2010 C 109,375 (2) (2) Common Stock 109,375 (2) 0 I Group Outcome Investors I, LLC(8)
Series C Preferred Stock (2) 12/16/2010 C 66,624 (2) (2) Common Stock 66,624 (2) 0 I Group Outcome Investors I, LLC(8)
Series D Preferred Stock (2) 12/16/2010 C 204,918 (2) (2) Common Stock 204,918 (2) 0 I Group Outcome Investors I, LLC(8)
Convertible Note $3.28 12/16/2010 C 112,318 11/12/2003 12/31/2011 Series F Preferred Stock 112,318 $3.28 0 I Group Outcome Investors I, LLC(8)
Convertible Note $3.28 12/16/2010 C 111,316 01/22/2004 12/31/2011 Series F Preferred Stock 111,316 $3.28 0 I Group Outcome Investors I, LLC(8)
Warrant $3.28 12/16/2010 X 15,244 10/22/2004 10/22/2014 Series F Preferred Stock 15,244 $3.28 0 I Group Outcome Investors I, LLC(8)
Warrant $6.5055 12/16/2010 X 31,437 05/25/2010 12/07/2012 Common Stock 31,437 $6.5066 0 I Group Outcome Investors I, LLC(8)
Warrant $6.5066 12/16/2010 X 6,287 06/02/2010 12/07/2012 Common Stock 6,287 $6.5066 0 I Group Outcome Investors I, LLC(8)
Series A Preferred Stock (2) 12/16/2010 C 3,930 (2) (2) Common Stock 3,930 (2) 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Series B Preferred Stock (2) 12/16/2010 C 421,875 (2) (2) Common Stock 421,875 (2) 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Series C Preferred Stock (2) 12/16/2010 C 256,981 (2) (2) Common Stock 256,981 (2) 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Series D Preferred Stock (2) 12/16/2010 C 204,918 (2) (2) Common Stock 204,918 (2) 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Series H Preferred Stock (2) 12/16/2010 C 23,810 (2) (2) Common Stock 23,810 (2) 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Convertible Note $3.28 12/16/2010 C 112,318 11/12/2003 12/31/2011 Series F Preferred Stock 112,318 $3.28 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Warrant $3.28 12/16/2010 X 7,622 10/22/2004 10/22/2014 Series F Preferred Stock 7,622 $3.28 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Warrant $6.5066 12/16/2010 X 4,611 05/23/2007 05/23/2012 Series H Preferred Stock 4,611 $6.5066 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Warrant $6.5066 12/16/2010 X 4,762 12/07/2007 12/07/2012 Common Stock 4,762 $6.5066 0 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
CHESS Depository Interests(15) (15) 12/16/2010 P 2,454,545(19) (17) (17) Common Stock 245,454 (18) 2,454,545 I Kenneth Rainin Adminsitrative Trust U/D/T 3/29/90(10)
Explanation of Responses:
1. Includes 7,968 shares of Series H Preferred Stock which were accrued as cumulative dividends and paid upon the closing of the Issuer's initial public offering on as-converted basis.
2. Each outstanding share of the Issuer's Preferred Stock automatically converted to one share of Common Stock upon the closing of the Issuer's initial public offering.
3. Represents the issuance of Series H Preferred Stock upon the exercise of such warrant upon the closing of the Issuer's initial public offering. Each share of Issuer's Series H Preferred Stock converted to one share Common Stock upon the closing of the Issuer's initial public offering.
4. Represents the issuance of Common Stock upon the exercise of such warrant upon the closing of the Issuer's initial public offering.
5. Represents the issuance of Series F Preferred Stock upon the exercise of such warrant upon the closing of the Issuer's initial public offering. Each share of Issuer's Series F Preferred Stock converted to one share Common Stock upon the closing of the Issuer's initial public offering. The warrant was previously reported as indirectly held by Group Outcome Investors I, LLC. The shares underlying the warrant were issued to Robert Stockman upon exercise of the warrant.
6. Includes 23,783 shares of Series H Preferred Stock which were accrued as cumulative dividends and paid upon the closing of the Issuer's initial public offering on as-converted basis.
7. Represents the issuance of common stock upon the exercise of such warrant on a cashless basis upon the closing of the Issuer's initial public offering. The warrant was previously reported as indirectly held by Group Outcome Investors I, LLC. The shares underlying the warrant were issued to Lisa Stockman, Robert Stockman's wife upon exercise of the warrant.
8. Represents securities held by Group Outcome Investors I, LLC. The members of Group Outcome Investors I, LLC are Isabel Stockman Trust, Martha Davis, Trustee; Hope Stockman Trust, Martha Davis, Trustee; Phoebe Stockman Trust, Martha Davis, Trustee; and Elizabeth Stockman Trust, Martha Davis, Trustee. Each of the members shares voting and dispositive power with respect to the shares. Two of the trustees, Isabel Stockman and Elizabeth Stockman, are dependents of Robert Stockman, our Chairman of the Board and Chief Executive Officer, and for Section 16 purposes, we have reported the full beneficial ownership of Group Outcome Investors I, LLC under Mr. Stockman's beneficial ownership. Mr. Stockman disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.
9. Represents the conversion of convertible notes into shares of Series F Preferred Stock upon the closing of the Issuer's initial public offering. Includes conversion of additional accrued interest following the date of the Reporting Person's previously filed Form 3 report. Each share of Issuer's Series F Preferred Stock converted to one share common stock upon the closing of the Issuer's initial public offering.
10. Mr. Stockman, along with Jennifer Rainin, is the trustee of the Kenneth Rainin Administrative Trust U/D/T 3/29/90 and has voting and dispositive power with respect to these shares. Mr. Stockman disclaims beneficial ownership except to the extent of his pecuniary interest therein.
11. Includes 4,781 shares of Series H Preferred Stock which were accrued as cumulative dividends and paid upon the closing of the Issuer's initial public offering on as-converted basis.
12. Represents the issuance of Series F Preferred Stock upon the exercise of such warrant on a cashless basis upon the closing of the Issuer's initial public offering. Each share of Issuer's Series F Preferred Stock converted to one share Common Stock upon the closing of the Issuer's initial public offering.
13. Represents the issuance of Series H Preferred Stock upon the exercise of such warrant on a cashless basis upon the closing of the Issuer's initial public offering. Each share of Issuer's Series H preferred stock converted to one share Common Stock upon the closing of the Issuer's initial public offering.
14. Represents the issuance of Common Stock upon the exercise of such warrant on a cashless basis upon the closing of the Issuer's initial public offering.
15. Australian CHESS Depositary Interests (CDIs) trade on the Australian Stock Exchange (ASX) and evidence beneficial ownership of Issuer's Common Stock on a ten-for-one basis.
16. Represents 20,000 shares of Issuer's Common Stock.
17. The CDIs are convertible into the Issuer's Common Stock on a ten-for-one basis at any time.
18. The CDIs were purchased in the Company's initial public offering at a purchase price of A$1.10 per CDI, or the equivelant of A$11.00 per share of Common Stock.
19. Represents 245,454 shares of Issuer's Common Stock.
Remarks:
/s/ Katrina Thompson, Attorney-in-fact 12/20/2010
** 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 4 (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).
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