0001181431-11-061925.txt : 20111223 0001181431-11-061925.hdr.sgml : 20111223 20111223162311 ACCESSION NUMBER: 0001181431-11-061925 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111223 FILED AS OF DATE: 20111223 DATE AS OF CHANGE: 20111223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERN ADAM K CENTRAL INDEX KEY: 0001403497 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52089 FILM NUMBER: 111280611 MAIL ADDRESS: STREET 1: SPENCER TRASK STREET 2: 535 MADISON AVENUE 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INVIVO THERAPEUTICS HOLDINGS CORP. CENTRAL INDEX KEY: 0001292519 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE BROADWAY STREET 2: 14TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: (617) 475-1520 MAIL ADDRESS: STREET 1: ONE BROADWAY STREET 2: 14TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02142 FORMER COMPANY: FORMER CONFORMED NAME: Design Source, Inc. DATE OF NAME CHANGE: 20040602 4 1 rrd329101.xml ADAM STERN FORM 4 X0304 4 2011-12-23 0 0001292519 INVIVO THERAPEUTICS HOLDINGS CORP. NVIV 0001403497 STERN ADAM K 535 MADISON AVENUE, 12TH FLOOR NEW YORK NY 10022 1 0 0 0 Warrant (right to purchase) 1.00 2011-12-23 4 J 0 577901 0 A 2011-12-23 2015-10-25 Common Stock 577901 577901 D Warrant (right to purchase) 1.40 2011-12-23 4 J 0 627901 0 A 2011-12-23 2015-10-25 Common Stock 627901 627901 D On October 26, 2010, InVivo Therapeutics Holdings Corp. ("ITHC") issued warrants to purchase shares of common stock of ITHC to Spencer Trask Ventures, Inc. or its designees pursuant to a certain Placement Agency Agreement by and among ITHC, Spencer Trask Ventures, Inc. and InVivo Therapeutics Corporation. On December 23, 2011, Spencer Trask Ventures, Inc. assigned warrants to various of its designees, including the reporting person. /s/ Thomas B. Rosedale (Pursuant to Power of Attorney) 2011-12-23