-----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, DRdsKbn6dcJ/xGqFmy6UPm/HPAKH47B6TyFK+gh1+PcD86sD6b9YcOw1rP9cqpsg kJoDub3OcEENMrgxwVbj6w== 0001179110-04-010335.txt : 20040512 0001179110-04-010335.hdr.sgml : 20040512 20040512172400 ACCESSION NUMBER: 0001179110-04-010335 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040512 FILED AS OF DATE: 20040512 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NUVASIVE INC CENTRAL INDEX KEY: 0001142596 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 330768598 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 10065 OLD GROVE RD CITY: SAN DIEGO STATE: CA ZIP: 92131 BUSINESS PHONE: 8582717070 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLAIR WILLIAM CAPITAL PARTNERS VII QP LP CENTRAL INDEX KEY: 0001279822 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50744 FILM NUMBER: 04800227 BUSINESS ADDRESS: STREET 1: 222 WEST ADAMS STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3123648847 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLAIR WILLIAM CAPITAL PARTNERS VII LP CENTRAL INDEX KEY: 0001279824 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50744 FILM NUMBER: 04800226 BUSINESS ADDRESS: STREET 1: 222 WEST ADAMS STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3123648847 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: William Blair Capital Management VII, LP CENTRAL INDEX KEY: 0001290052 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50744 FILM NUMBER: 04800224 BUSINESS ADDRESS: STREET 1: 222 WEST ADAMS STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-364-8847 MAIL ADDRESS: STREET 1: 222 WEST ADAMS STREET CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: William Blair Capital Management VII, LLC CENTRAL INDEX KEY: 0001290067 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50744 FILM NUMBER: 04800225 BUSINESS ADDRESS: STREET 1: 222 WEST ADAMS STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-364-8847 MAIL ADDRESS: STREET 1: 222 WEST ADAMS STREET CITY: CHICAGO STATE: IL ZIP: 60606 3 1 edgar.xml FORM 3 - X0202 3 2004-05-12 0 0001142596 NUVASIVE INC NUVA 0001279822 BLAIR WILLIAM CAPITAL PARTNERS VII QP LP 227 WEST MONROE STREET, 35TH FLOOR CHICAGO IL 60606 0 0 1 0 0001279824 BLAIR WILLIAM CAPITAL PARTNERS VII LP 227 WEST MONROE STREET, 35TH FLOOR CHICAGO IL 60606 0 0 1 0 0001290067 William Blair Capital Management VII, LLC 227 WEST MONROE STREET, 35TH FLOOR CHICAGO IL 60606 0 0 1 0 0001290052 William Blair Capital Management VII, LP 227 WEST MONROE STREET, 35TH FLOOR CHICAGO IL 60606 0 0 1 0 Series D Preferred Stock 3952570 I See footnotes Series D-1 Preferred Stock 2173914 I See footnotes Stock Option (Right to Buy) .63 2002-07-26 2011-07-26 Common Stock 8000 I See footnotes Stock Option (Right to Buy) 10.75 2004-02-26 2014-02-26 Common Stock 24000 I See footnotes Warrant (Right to Purchase Common Stock) .63 2002-07-11 2009-07-11 Common Stock 213130 I See footnotes Warrant (Right to Purchase Common Stock) .63 2002-07-29 2009-07-11 Common Stock 17582 I See footnotes Warrant (Right to Purchase Common Stock) .63 2003-06-19 2010-06-19 Common Stock 121788 I See footnotes Warrant (Right to Purchase Common Stock) .63 2002-07-11 2009-07-11 Common Stock 8214 I See footnotes Warrant (Right to Purchase Common Stock) .63 2002-07-29 2009-07-11 Common Stock 678 I See footnotes Warrant (Right to Purchase Common Stock) .63 2003-06-19 2010-06-19 Common Stock 4694 I See footnotes Immediately following the closing of the initial public offering of the Issuer's Common Stock, all outstanding shares of Preferred Stock will be automatically converted into shares of the Issuer's Common Stock. The Designated Filer is executing this report on behalf of William Blair Capital Management VII, L.L.C., William Blair Capital Management VII, L.P., William Blair Capital Partners VII QP, L.P. and William Blair Capital Partners VII, L.P. (collectively, the "Reporting Persons"), each of whom has authorized it do so; each of the Reporting Persons disclaim beneficial ownership of the Issuer's securities to the extent it exceeds such Reporting Person's pecuniary interest. Represents 3,805,891 shares beneficially owned by William Blair Capital Partners VII QP, L.P. and 146,679 shares beneficially owned by William Blair Capital Partners VII, L.P. Represents 2,093,240 shares beneficially owned by William Blair Capital Partners VII QP, L.P. and 80,674 shares beneficially owned by William Blair Capital Partners VII, L.P. The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by William Blair Capital Partners VII QP, L.P. and William Blair Capital Partners VII, L.P., a portion of which may be deemed attributable to William Blair Capital Management VII, L.L.C. and William Blair Capital Management VII, L.P., because William Blair Capital Management VII, L.P. is the general partner of William Blair Capital Partners VII QP, L.P. and William Blair Capital Partners VII, L.P and William Blair Capital Management VII, L.L.C. is the general partner of William Blair Capital Management VII, L.P The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to such Reporting Person is not readily determinable because it is subject to several variables. The option is immediately exercisable, but shares purchased under such option are subject to repurchase by the Issuer at the option exercise price, upon the Reporting Person's termination of service to the Issuer prior to vesting in these shares. 25% of the option shares vest on such date with the remaining option shares vesting in 36 equal monthly installments thereafter. Represents stock option beneficially owned by William Blair Capital Management VII, L.P. The option is immediately exercisable, but shares purchased under such option are subject to repurchase by the Issuer at the option exercise price, upon the Reporting Person's termination of service to the Issuer prior to vesting in these shares. Option shares vesting in 48 equal monthly installments from such date. Represents warrants beneficially owned by William Blair Capital Partners VII QP. LP. Represents warrants beneficially owned by William Blair Capital Partners VII, L.P. This warrant will be exercised for shares of the Issuer's Common Stock upon the closing of the initial public offering of the Issuer's Common Stock pursuant to the cashless exercise provisions contained therein, based on the price to the public in such offering. Represents stock option issued to Arda Minocherhomjee that is beneficially owned by William Blair Capital Management VII, L.P.. Dr. Minocherhomjee is a managing director and member of William Blair Capital Management VII, L.L.C., the general partner of William Blair Capital Management VII, L.P., and is required to provide the economic benefit attributable to this stock option to William Blair Capital Management VII, L.P. /s/ Arda M. Minocherhomjee, Managing Director of William Blair Capital Management VII, L.L.C., general partner of William Blair Capital Managment VII, L.P., general partner of William Blair Capital Partners VII QP, L.P. 2004-05-12 /s/ Arda M. Minocherhomjee, Managing Director of William Blair Capital Management VII, L.L.C., general partner of William Blair Capital Managment VII, L.P., general partner of William Blair Capital Partners VII, L.P. 2004-05-12 /s/ Arda M. Minocherhomjee, Managing Director of William Blair Capital Management VII, L.L.C. 2004-05-12 /s/ Arda M. Monocherhomjee, Managing Director of William Blair Capital Management VII, L.L.C., its general partner 2004-05-12 -----END PRIVACY-ENHANCED MESSAGE-----