-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NaMZlpSNw86wPUv7WbjwXwxbYMx18Pc1C+smRRBcWXg+JC73y8CuT3kdyfV8jnAc p8YhJ7cek20N5MuR3Tl6yg== 0001096906-02-000180.txt : 20020415 0001096906-02-000180.hdr.sgml : 20020415 ACCESSION NUMBER: 0001096906-02-000180 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020202 FILED AS OF DATE: 20020307 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPARTA SURGICAL CORP CENTRAL INDEX KEY: 0000819981 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 222870438 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11047 FILM NUMBER: 02569604 BUSINESS ADDRESS: STREET 1: OLSEN CENTRE STREET 2: 2100 MERIDIAN PARK BLVD CITY: CONCORD STATE: CA ZIP: 94520 BUSINESS PHONE: 9258258151 MAIL ADDRESS: STREET 1: 7068 KOLL CENTER PKWY STREET 2: STE 401 CITY: PLEASANTON STATE: CA ZIP: 94566 FORMER COMPANY: FORMER CONFORMED NAME: BIO METALLICS INC DATE OF NAME CHANGE: 19900717 COMPANY DATA: COMPANY CONFORMED NAME: REINER THOMAS F CENTRAL INDEX KEY: 0001004997 DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4478 FLEETWOOD ROAD CITY: DANVILLE STATE: CA ZIP: 94506 BUSINESS PHONE: 9258258151X110 MAIL ADDRESS: STREET 1: 7068 KOLLCENTER PKWY STREET 2: SUITE 401 CITY: PLEASANTON STATE: CA ZIP: 94566 4 1 spartaf4_reinermar2002.txt U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 [_] Check 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* Reiner Thomas Francis - -------------------------------------------------------------------------------- (Last) (First) (Middle) 4478 Fleetwood Road - -------------------------------------------------------------------------------- (Street) Danville CA 94506 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Sparta Surgical Corporation (SPSG) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 02/02 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) Chairman, President and CEO --------------------------- ________________________________________________________________________________
==================================================================================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ==================================================================================================================================== 6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock-See Note #1 02/27/02 D 5,000 A $0.13 2,226,029 D See Note #1 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock-See Note #1 02/25/02 D 5,000 A $0.13 2,221,029 D See Note #1 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock-See Note #3 08/01/00 J 1,066,680 A $0.0 4,382,762 I See Note #2 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) (Form 4-07/99)
FORM 4 (continued) ==================================================================================================================================== Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ==================================================================================================================================== 10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Options -- 11/29/01 D 950,000 -- -- Stock -- $0.22-$1.65 1,454,335 D See Note #4 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock Options -- 11/30/01 D 173,335 -- -- Stock -- $0.59-$13.50 1,281,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Warrants -- 10/31/00 A 604,237 -- -- Stock -- 604,237 I See Note #3 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: Note #1 - Held by the Reporting Person as Trustee for the Company and subject to an Escrow Agreement by and between the Reporting Person and the Company, - 1,902,986 Note #2 - Held by the Reporting Person as Trustee - 4,382,762 for Unaffiliated Parties. Note #3 - Held by the Reporting Person as Trustee - 604,237 for Unaffiliated Parties. Note #4 - Held by and cancelled by Reporting Person. /s/ Thomas F. Reiner 03/06/02 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** 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 provided is insufficient, see Instruction 6 for procedure. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----