-----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, IbI7BRIjmJL3+QETz9vg44qllBx9zQ0VQ1GrVo/Az4uUC+Nj4I9/JKgyM+smnC1m 1OIIvHKMM28iV/3Wose2Hg== 0000351721-03-000046.txt : 20030227 0000351721-03-000046.hdr.sgml : 20030227 20030227172525 ACCESSION NUMBER: 0000351721-03-000046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030226 FILED AS OF DATE: 20030227 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ERICKSON JOHN H CENTRAL INDEX KEY: 0001192857 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: 6501 WINDCREST DR STREET 2: SUITE 100 CITY: PLANO STATE: TX ZIP: 75024 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED NEUROMODULATION SYSTEMS INC CENTRAL INDEX KEY: 0000351721 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 751646002 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-10521 FILM NUMBER: 03584211 BUSINESS ADDRESS: STREET 1: 6501 WINDCREST DRIVE SUITE 100 CITY: PLANO STATE: TX ZIP: 75024 BUSINESS PHONE: 9723098000 MAIL ADDRESS: STREET 1: 6501 WINDCREST DRIVE SUITE 100 CITY: PLANO STATE: TX ZIP: 75024 FORMER COMPANY: FORMER CONFORMED NAME: QUEST MEDICAL INC DATE OF NAME CHANGE: 19920703 4 1 erickson022603.txt FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 this box if no longer OMB APPROVAL subject to Section 16. Form 4 or OMB Number: 3235-0287 Form 5 obligations may continue. Expires: January 31, 2005 See Instruction 1(b). Extimated average burden hours per response....0.5 - ------------------------------------------------------------------------------- 1. NAME AND ADDRESS OF REPORTING PERSON* LAST FIRST MIDDLE STREET CITY STATE ZIP Erickson, John H. 3615 Interlaken Drive Plano TX 75075 - ------------------------------------------------------------------------------- 2. ISSUER NAME AND TICKER OR TRADING SYMBOL Advanced Neuromodulation Systems, Inc. (ANSI) - ------------------------------------------------------------------------------- 3. IRS OR SOCIAL SECURITY NUMBER OF REPORTING PERSON (VOLUNTARY) ###-##-#### - ------------------------------------------------------------------------------- 4. STATEMENT FOR MONTH/DAY/YEAR 5. IF AMENDMENT, DATE OF ORIGINAL (MONTH/DAY/YEAR) 02/26/03 - ------------------------------------------------------------------------------- 6. RELATIONSHIP OF REPORTING PERSON(S) TO ISSUER (Check all applicable) ____ Director _____ 10% Owner _X__ Officer (give _____ Other (specify title below) below) Vice President-Research and Development - ------------------------------------------------------------------------------- 7. INVIDIVUAL OR JOINT/GROUP FILING (Check applicable line) _X__ Form filed by One Reporting Person ____ Form filed by More than One Reporting Person - ------------------------------------------------------------------------------- TABLE 1 - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------- |1. Title of Security |2. Transaction |2A. Deemed |3. Transaction Code | |(Instr. 3) |Date |Execution Date |(Instr. 8) | | |(mm/dd/yy)/ |if any (mm/dd/yy) | | | | | |---------------------| | | | | Code | V | |---------------------|---------------|------------------|----------|----------| |Common Stock, | | | | | |$0.05 Par Value | 02/26/03 | | M | V | |---------------------|---------------|------------------|----------|----------| |Common Stock, | | | | | |$0.05 Par Value | 02/26/03 | | S | | |---------------------|---------------|------------------|----------|----------| |Common Stock, | | | | | |$0.05 Par Value | 02/26/03 | | G | V | |---------------------|---------------|------------------|----------|----------| |Common Stock, | | | | | |$0.05 Par Value | 02/26/03 | | S | | |---------------------|---------------|------------------|----------|----------| | | | | | | | | | | | | |---------------------|---------------|------------------|----------|----------|
- ------------------------------------------------------------------------------- |4. Securities Acquired | 5. Amount of | 6. Ownership | 7. Nature of | | (A) or Disposed of | Securities | Form: | Indirect | | (D) (Instr. 3, 4, and 5) | Beneficially | Direct (D) | Beneficial | - -----------------------------| Owned | or | Ownership | | | (A) | | Following | Indirect (I) | (Instr. 4) | | | or | | Reported | (Instr. 4) | | | Amount | (D) | Price | Transaction(s)| | | |-----------|-----|----------|----------------|---------------|----------------| | 2,500 | A | $5.00 | 3,500 | D | | |-----------|-----|----------|----------------|---------------|----------------| | 2,500 | D |$36.25 - | 1,000 | D | | | | | 36.35 | | | | |-----------|-----|----------|----------------|---------------|----------------| | 580 | D | n/a | 420 | D | | | | | | 580 | I | | |-----------|-----|----------|----------------|---------------|----------------| | 580 | D | $36.25 | 420 | D | | | | | | 0 | I | | |-----------|-----|----------|----------------|---------------|----------------| | | | | | | | |-----------|-----|----------|----------------|---------------|----------------| | | | | | | | |-----------|-----|----------|----------------|---------------|----------------|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |------------------------------------------------------------------------------| |1. Title of|2. Con- |3. Trans- |4. Tran-|5. Number of |6. Date Exer- | |Derivative |version |action Date |saction |Derivative |able and | |Security |or |(mm/dd/yy) |Code |Securities |Expiration Date | |(Instr. 3) |Exercise | |(Instr. |Acquired (A) |(mm/dd/yy) | | |Price of | | 8) |or Disposed of | | | |Deriva- | | |(D) (Instr. 3, |-----------------| | |tive | | |4, and 5) |Date |Expira- | | |Security | |--------|---------------|Exer- |Date | | | | |Code| V | (A) | (D) |cisable |Date | |-----------|---------|-------------|----|---|-------|-------|--------|--------| |Right to | $5.000 | 11/05/98(1) | A | V |15,000 | |11/05/98|11/06/08| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | | | | | | | | | | | |Stock | | 12/19/01 | M | | |12,000 | | | |Option | | | | | | | | | |Exercise | | | | | | | | | | | | | | | | | | | |Stock | | 02/26/03 | M | | | 2,500 | | | |Option | | | | | | | | | |Exercise | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $5.000 | 11/05/98(1) | A | V | | 5,000 |11/05/98|11/06/08| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $5.000 | 11/05/98(2) | A | V | |10,000 |04/09/99|11/06/08| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $5.000 | 11/05/98(2) | A | V | |10,000 |09/01/99|11/06/08| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $6.625 | 03/31/99(2) | A | V |20,000 | |03/31/00|04/01/09| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $15.375 | 03/17/00(2) | A | V | 7,000 | |03/17/01|03/18/10| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $14.250 | 07/31/00(3) | A | V |10,000 | |07/31/01|08/01/10| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $10.625 | 04/03/01(2) | A | V |10,000 | |04/03/02|04/04/11| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| |Right to | $28.530 | 02/20/02(1) | A | V |15,000 | |02/20/03|02/21/12| |Purchase | | | | | | | | | |Stock | | | | | | | | | |Option | | | | | | | | | |-----------|---------|-------------|--------|-------|-------|--------|--------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |-----------|---------|-------------|----|---|-------|-------|--------|--------|
|------------------------------------------------------------------------------| |7. |8. |9. |10. |11. | |Title and Amount |Price |Number |Ownership |Nature | |of Underlying |of Derivative|of Derivative|Form of |of | |Securities |Security |Securities |Derivative |Indirect | |(Inst. 3 and 4) |(Instr. 5) |Beneficially |Security: |Beneficial| |------------------------| |Owned at End |Direct (D) or |Ownership | | |Amount or | |of Month |Indirect (I) |(Instr. 4)| | |Number of | |(Instr. 4) |(Instr. 4) | | | Title |Shares | | | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 15,000 | | | | | | | 12,000 | | | | | | | 2 500 | | 500 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 5,000 | | 5,000 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 10,000 | | 10,000 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 10,000 | | 10,000 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 20,000 | | 20,000 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 7,000 | | 7,000 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 10,000 | | 10,000 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 10,000 | | 10,000 | | | |------------|-----------|-------------|-------------|--------------|----------| |Common Stock| 15,000 | | 15,000 | | | |------------|-----------|-------------|-------------|--------------|----------| | | | TOTAL | 87,500 | D | | | | | | | | | |------------|-----------|-------------|-------------|--------------|----------|
Explanation of Responses: (1) Options granted pursuant to 1995 Stock Option Plan, 25% vesting per year. (2) Options granted pursuant to 1998 Stock Option Plan, 25% vesting per year. (3) Options granted pursuant to 2000 Stock Option Plan, 25% vesting per year. John H. Erickson By:/s/Linda D. Moses, Agent and Attorney-in-Fact for John H. Erickson - ----------------------------------------------------- **Signature of Reporting Person Date: February 26, 2003 - ----------------------------------------- ** 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 is insufficent, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. -----END PRIVACY-ENHANCED MESSAGE-----