-----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, EGr8vCUBDuuy3O9QsnF41RbfsvIU8KrIFqISy7Qj7lfmiRR9D2GktgtyomXPhiCN RRYjO4zdCu6pKtYZja/RpA== 0001209191-05-039000.txt : 20050728 0001209191-05-039000.hdr.sgml : 20050728 20050728105000 ACCESSION NUMBER: 0001209191-05-039000 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050726 FILED AS OF DATE: 20050728 DATE AS OF CHANGE: 20050728 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: WORLD HEART CORP CENTRAL INDEX KEY: 0001024520 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7799 PARDEE LANE CITY: OAKLAND STATE: CA ZIP: 94621 BUSINESS PHONE: 510-563-5000 MAIL ADDRESS: STREET 1: 7799 PARDEE LANE CITY: OAKLAND STATE: CA ZIP: 94621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WALKER PATRICK P CENTRAL INDEX KEY: 0001261908 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979553 BUSINESS ADDRESS: BUSINESS PHONE: 2147566073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WALKER REID S CENTRAL INDEX KEY: 0001217829 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979554 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 880 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH G STACY CENTRAL INDEX KEY: 0001056313 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979555 BUSINESS ADDRESS: STREET 1: WALKER SMITH CAPITAL L P STREET 2: 300 CRESCENT COURT SUITE 830 CITY: DALLAS STATE: TX ZIP: 78201 BUSINESS PHONE: 2148715392 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WS OPPORTUNITY FUND INTERNATIONAL LTD CENTRAL INDEX KEY: 0001261914 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979559 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WSV MANAGEMENT L L C CENTRAL INDEX KEY: 0001261911 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979560 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WS CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001218300 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979561 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WS Opportunity Fund L P CENTRAL INDEX KEY: 0001297795 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979557 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WS CAPITAL LLC CENTRAL INDEX KEY: 0001123407 STATE OF INCORPORATION: TX FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979562 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566055 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT, SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WS Opportunity Fund QP L P CENTRAL INDEX KEY: 0001298254 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979556 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-756-6073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WS VENTURES MANAGEMENT L P CENTRAL INDEX KEY: 0001261917 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28882 FILM NUMBER: 05979558 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566073 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT SUITE 1111 CITY: DALLAS STATE: TX ZIP: 75201 4 1 bod26804_bod3wcl.xml MAIN DOCUMENT DESCRIPTION X0202 4 2005-07-26 0001024520 WORLD HEART CORP WHRT 0001123407 WS CAPITAL LLC 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001218300 WS CAPITAL MANAGEMENT LP 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001261911 WSV MANAGEMENT L L C 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001261914 WS OPPORTUNITY FUND INTERNATIONAL LTD 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001261917 WS VENTURES MANAGEMENT L P 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001297795 WS Opportunity Fund L P 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001298254 WS Opportunity Fund QP L P 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001056313 SMITH G STACY 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001217829 WALKER REID S 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 0001261908 WALKER PATRICK P 300 CRESCENT COURT SUITE 1111 DALLAS TX 75201 0 0 1 0 Common Stock 2005-07-26 4 X 0 1600000 1.00 A 1604993 I See Footnotes Common Stock 2005-07-26 4 C 0 896432 1.25 A 2501425 I See Footnotes Common Stock 2005-07-26 4 C 0 21279 1.3589 A 2522704 I See Footnotes Warrants (right to buy) 1.00 2005-07-26 4 X 0 1600000 D 2004-09-15 2009-09-15 Common Stock 1600000 0 I See Footnote Convertible Debentures (right to buy) 1.25 2005-07-26 4 C 0 1120539 1120539 D 2004-09-15 2009-09-15 Common Stock 896432 0.00 I See Footnote This Form 4 is filed on behalf of WS Capital, L.L.C. (WS Capital), WS Capital Management, L.P. (WSCM), WSV Management, L.L.C. (WSV), WS Ventures Management, L.P. (WSVM), Walker Smith Capital, L.P. (WSC), Walker Smith Capital (Q.P.), L.P. (WSCQP), Walker Smith International Fund, Ltd. (WS International), WS Opportunity Fund, L.P. (WSO), WS Opportunity Fund (Q.P.), L.P. (WSOQP), WS Opportunity Fund International, Ltd. (WSO International), Reid S. Walker, G. Stacy Smith and Patrick P. Walker (collectively, the Filing Persons). Reid S. Walker and G. Stacy Smith are the sole principals of WS Capital, and Reid S. Walker, G. Stacy Smith and Patrick P. Walker are the sole principals of WSV. WS Capital is the general partner of WSCM, which is the general partner of WSC and WSCQP and the agent and attorney-in-fact for WS International. WSV is the general partner of WSVM, which is the general partner of WSO and WSOQP and the agent and attorney-in-fact for WSO International. Represents shares acquired by WS International (497,120), WSO International (226,640), WSOQP (206,080), WSC (79,360), WSO (167,280), and WSCQP (423,520). Represents shares acquired by WS International (268,325), WSO International (128,129), WSOQP (116,569), WSC (39,360), WSO (94,596), and WSCQP (249,453). Represents shares acquired by WS International (6,370), WSO International (3,041), WSOQP (2,767), WSC (934), WSO (2,245), and WSCQP (5,922). The shares were acquired through conversion of the accrued unpaid interest on the convertible debentures held by such respective entity into shares of the Issuer's common stock pursuant to the terms of the convertible debentures. Represents shares held directly by WS International (772,807), WSO International (358,016), WSOQP (325,522), WSC (122,598), WSO (264,262), and WSCQP (679,499). The exercise price of the warrants was amended from $1.55 per share to $1.00 per share. The warrants were acquired in connection with the respective Reporting Persons' acquisition of the convertible debentures. No separate consideration was paid for issuance of the warrants. Represents warrants held directly by WS International (497,120), WSO International (226,640), WSOQP (206,080), WSC (79,360), WSO (167,280), and WSCQP (423,520). Represents convertible debentures held directly by WS International ($335,406), WSO International ($160,161), WSOQP ($145,711), WSC ($49,200), WSO ($118,245), and WSCQP ($311,816). Each of the Filing Persons hereby expressly disclaims membership in a group under the Securities Exchange Act of 1934 with respect to the securities reported herein, and this Form 4 shall not be deemed to be an admission that any such Filing Person is a member of such a group. Each of the Filing Persons hereby expressly disclaims beneficial ownership of the securities reported herein, other than to the extent of its pecuniary interest therein, and this Form 4 shall not be deemed to be an admission that any such Filing Person is the beneficial owner of the securities reported herein for purposes of the Securities Exchange Act of 1934 or for any other purpose. This is Part 1 of a Form 4 filed jointly by WS Capital LLC, WS Capital Management, L.P., WSV Management, LLC, WS Opportunity Fund Ltd., WS Ventures Management, L.P., WS Opportunity Fund, L.P., WS Opportunity Fund (QP), L.P., Walker Smith Capital, L.P., Walker Smith International Ltd., Walker Smith Capital (QP), L.P., G. Stacy Smith, Reid S. Walker and Patrick P. Walker. The Form 4 was filed in two parts due to the restrictions in the electronic filing process. WS Capital, L.L.C., by /s/ Reid S. Walker, Member 2005-07-27 WS Capital Management, L.P., by WS Capital, L.L.C., its general partner, by /s/ Reid S. Walker, Member 2005-07-27 WSV Management, L.L.C., by /s/ Reid S. Walker, Member 2005-07-27 WS Opportunity Fund International, LTD., by WS Ventures Management, L.P., its agent and attorney-in-fact, by WSV Management, L.L.C., by /s/ Reid S. Walker, Member 2005-07-27 WS Ventures Management, L.P.., by WSV Management, L.L.C., its general partner, by /s/ Reid S. Walker, Member 2005-07-27 WS Opportunity Fund, L.P., by WS Ventures Management, L.P., its general partner, by WSV Management, L.L.C., its general partner, by /s/ Reid S. Walker, Member 2005-07-27 WS Opportunity Fund, (Q.P.) L.P., by WS Ventures Management, L.P., its general partner, by WSV Management, L.L.C., its general partner, by /s/ Reid S. Walker, Member 2005-07-27 /s/ G. Stacy Smith 2005-07-27 /s/ Reid S. Walker 2005-07-27 /s/ Patrick P. Walker 2005-07-27 -----END PRIVACY-ENHANCED MESSAGE-----