0001104659-14-077196.txt : 20141105
0001104659-14-077196.hdr.sgml : 20141105
20141105192935
ACCESSION NUMBER: 0001104659-14-077196
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130923
FILED AS OF DATE: 20141105
DATE AS OF CHANGE: 20141105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sunshine Heart, Inc.
CENTRAL INDEX KEY: 0001506492
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 680533453
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 7651 ANAGRAM DRIVE
CITY: EDEN PRAIRIE
STATE: MN
ZIP: 55344
BUSINESS PHONE: 952-345-4200
MAIL ADDRESS:
STREET 1: 7651 ANAGRAM DRIVE
CITY: EDEN PRAIRIE
STATE: MN
ZIP: 55344
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CM Capital Venture 4A A/C
CENTRAL INDEX KEY: 0001542841
STATE OF INCORPORATION: C3
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35312
FILM NUMBER: 141198392
BUSINESS ADDRESS:
STREET 1: LEVEL 9
STREET 2: 545 QUEEN STREET
CITY: BRISBANE
STATE: C3
ZIP: QLD 4000
BUSINESS PHONE: 61738382800
MAIL ADDRESS:
STREET 1: LEVEL 9
STREET 2: 545 QUEEN STREET
CITY: BRISBANE
STATE: C3
ZIP: QLD 4000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CM Capital Venture 4B A/C
CENTRAL INDEX KEY: 0001542842
STATE OF INCORPORATION: C3
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35312
FILM NUMBER: 141198393
BUSINESS ADDRESS:
STREET 1: LEVEL 9
STREET 2: 545 QUEEN STREET
CITY: BRISBANE
STATE: C3
ZIP: QLD 4000
BUSINESS PHONE: 61738382800
MAIL ADDRESS:
STREET 1: LEVEL 9
STREET 2: 545 QUEEN STREET
CITY: BRISBANE
STATE: C3
ZIP: QLD 4000
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Talu Ventures Pty Ltd
CENTRAL INDEX KEY: 0001619365
STATE OF INCORPORATION: C3
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35312
FILM NUMBER: 141198394
BUSINESS ADDRESS:
STREET 1: LEVEL 8
STREET 2: 379 QUEEN STREET
CITY: BRISBANE
STATE: C3
ZIP: QLD 4000
BUSINESS PHONE: 61 7 3838 2888
MAIL ADDRESS:
STREET 1: LEVEL 8
STREET 2: 379 QUEEN STREET
CITY: BRISBANE
STATE: C3
ZIP: QLD 4000
4
1
a4.xml
4
X0306
4
2013-09-23
0
0001506492
Sunshine Heart, Inc.
SSH
0001619365
Talu Ventures Pty Ltd
LEVEL 8, 379 QUEEN STREET
BRISBANE
C3
QLD 4000
AUSTRALIA
0
0
1
0
0001542842
CM Capital Venture 4B A/C
LEVEL 8, 379 QUEEN STREET
BRISBANE
C3
QLD 4000
AUSTRALIA
0
0
1
0
0001542841
CM Capital Venture 4A A/C
LEVEL 8, 379 QUEEN STREET
BRISBANE
C3
QLD 4000
AUSTRALIA
0
0
1
0
Common Stock
2013-09-23
4
P
0
62500
10.50
A
812856
I
By: CM Capital Venture Trust 4A
Common Stock
2013-09-23
4
P
0
62500
10.50
A
812856
I
By: CM Capital Venture Trust 4B
Common Stock Warrant (right to buy)
Common Stock
188393
I
By: CM Capital Venture Trust 4A
Common Stock Warrant (right to buy)
Common Stock
188393
I
By: CM Capital Venture Trust 4B
Represents securities held by CM Capital Venture Trust 4A. Beginning January 1, 2013, Talu Ventures Pty Ltd. became the investment manager of CM Capital Venture Trust 4A and has voting and investment power over the securities held by CM Capital Venture Trust 4A, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Voting and investment decisions are made by an investment committee of five individuals, each of whom disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Represents securities held by CM Capital Venture Trust 4B. Beginning January 1, 2013, Talu Ventures Pty Ltd. became the investment manager of CM Capital Venture Trust 4B and has voting and investment power over the securities held by CM Capital Venture Trust 4B, but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. Voting and investment decisions are made by an investment committee of five individuals, each of whom disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
/s/ Jonathan Whitehouse CM CAPITAL VENTURE TRUST 4A
2014-11-03
/s/ Jonathan Whitehouse CM CAPITAL VENTURE TRUST 4B
2014-11-03
/s/ Jonathan Whitehouse TALU VENTURES PTY LTD
2014-11-03