-----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, SQAEQTNgHYpzyfbb+4E7q80AfhDN3XufnXW44RERotPxpUsZohiOYciI73C0LIBW 9RrshhtIZHu704RbUhDz1A== 0001179110-09-005797.txt : 20090401 0001179110-09-005797.hdr.sgml : 20090401 20090401093934 ACCESSION NUMBER: 0001179110-09-005797 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090203 FILED AS OF DATE: 20090401 DATE AS OF CHANGE: 20090401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERN ALAN CENTRAL INDEX KEY: 0001261299 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24635 FILM NUMBER: 09721468 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HYPERTENSION DIAGNOSTICS INC /MN CENTRAL INDEX KEY: 0001058828 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 411618036 STATE OF INCORPORATION: MN FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 2915 WATERS ROAD SUITE 108 CITY: EAGAN STATE: MN ZIP: 55121-1562 BUSINESS PHONE: 6126879999 4 1 edgar.xml FORM 4 - X0303 4 2009-02-03 0 0001058828 HYPERTENSION DIAGNOSTICS INC /MN HDII 0001261299 STERN ALAN 602 S. HUDSON AVENUE SW LOS ANGELES CA 90005 1 0 0 0 Common Stock 2009-02-03 4 P 0 79000 .0313 A 1057859 I By Trust Common Stock 2009-02-12 4 P 0 12000 .0417 A 1069859 I By Trust Common Stock 2009-02-20 4 P 0 25000 .0392 A 1094859 I By Trust Common Stock 2009-02-26 4 P 0 1900 .042 A 1096759 I By Trust Common Stock 2009-03-03 4 P 0 5000 .04 A 1101759 I By Trust Common Stock 2009-03-04 4 P 0 37100 .039 A 1138859 I By Trust Common Stock Warrant 0.22 2003-08-28 2006-12-15 Common Stock 211694 211694 I By Trust Common Stock Warrant 0.30 2003-08-28 2008-08-28 Common Stock 370466 370466 I By Trust Series A Preferred Stock Warrant 2.64 2003-08-28 2006-12-15 Series A Preferred Stock 13312 13312 I By Trust Series A Preferred Stock Warrant 3.60 2003-08-28 2008-08-28 Series A Preferred Stock 23296 23296 I By Trust Options 0.20 2013-12-17 Common Stock 300000 300000 D Series A Preferred Stock 1.68 Common Stock 399348 33279 I By Trust Series A Preferred Stock 2.04 Common Stock 164436 13703 I By Trust Series A Preferred Stock 2.64 Common Stock 159744 13312 I By Trust Stock Options 0.16 2016-11-27 Common Stock 450000 450000 D By reporting person as trustee of the Alan and Lisa Stern Family Trust. The reporting person's purchase of HDII common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 13,000 shares, with the reporting person's sale of 13,000 shares of HDII common stock at a price of $0.03133 per share on December 23, 2008. The reporting person has paid the Issuer, $47.71, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs. Immediately exercisable. No expiration date. 150,000 shares vest on each of 11/28/07, 11/28/08 and 11/28/09. Right to buy. Power of Attorney Form incorporated herein by reference to Exhibit 24.1 Power of Attorney, filed on Form 4 dated 3/31/06 and filed on 4/26/06. /s/ Mark N. Schwartz, as attorney-in-fact 2009-04-01 -----END PRIVACY-ENHANCED MESSAGE-----