-----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, VDeHiQHMWMdzan6x4FBoR59cY3XYy43jeCtwzFTlnMlXyOlQ2Zk4y6MeSUa2CMNm Wp+ymDzSoM6iuiP4HWan4A== 0000950134-03-015906.txt : 20031128 0000950134-03-015906.hdr.sgml : 20031127 20031128062637 ACCESSION NUMBER: 0000950134-03-015906 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031128 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CALHOUN JAMES P CENTRAL INDEX KEY: 0001192860 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 144 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: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 000-10521 FILM NUMBER: 031027871 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 144 1 d10938ae144.txt FORM 144 OMB APPROVAL -------------------------- OMB Number: 3235-0101 Expires: November 30, 2003 Estimated average burden UNITED STATES hours per response.....2.0 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SEC USE ONLY FORM 144 -------------------------- NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT DOCUMENT SEQUENCE NO. TO RULE 144 UNDER THE SECURITIES ACT OF 1933 -------------------------- CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing -------------------------- an order with a broker to execute WORK LOCATION sale or executing a sale directly with a market maker. -------------------------- - --------------------------------------------------------------------------------------------------------- 1(a) NAME OF ISSUER (PLEASE TYPE OR PRINT) (b) I.R.S. IDENT. NO. (c) S.E.C. FILE NO. Advanced Neuromodulation Systems, Inc. 75-1646002 0-10521 - ------------------------------------------------------------------------------------------------------------------------------------ 1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO. ------------------------ AREA CODE NUMBER 6501 Windcrest Drive Plano Texas 75024 972 309-8000 - ------------------------------------------------------------------------------------------------------------------------------------ 2(a) NAME OF PERSON FOR WHOSE ACCOUNT (b) I.R.S. IDENT. (c) RELATIONSHIP (d) ADDRESS STREET CITY STATE ZIP CODE THE SECURITIES ARE TO BE SOLD NO. TO ISSUER James P. Calhoun ###-##-#### Vice President-Human 6609 Lake Shore Drive, Garland, Texas 75044 Resources - ------------------------------------------------------------------------------------------------------------------------------------
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
- ------------------------------------------------------------------------------------------------------------------------------ 3(a) (b) (c) (d) TITLE OF THE NAME AND ADDRESS OF EACH BROKER S.E.C. USE ONLY NUMBER OF SHARES AGGREGATE CLASS OF THROUGH WHOM THE SECURITIES ARE TO BE --------------- OR OTHER UNITS MARKET SECURITIES OFFERED OR EACH MARKET MAKER WHO IS BROKER-DEALER TO BE SOLD VALUE TO BE SOLD ACQUIRING THE SECURITIES FILE NUMBER (See Instr. 3(c)) (See Instr. 3(d)) - ------------------------------------------------------------------------------------------------------------------------------ Common Stock, $0.05 Par Value Merrill Lynch 36,222(1) $ 1,530,379.50 600 E. Las Colinas Blvd. Suite 2200 Irving, TX 75039 - ------------------------------------------------------------------------------------------------------------------------------ (e) (f) (g) NUMBER OF SHARES APPROXIMATE NAME OF EACH OR OTHER UNITS DATE OF SALE SECURITIES OUTSTANDING (See instr. 3(f)) EXCHANGE (See Instr. 3(e)) (MO., DAY, YR.) (See Instr. 3(g)) - ------------------------------------------------------------------------------------------------ 19,568,312 November 28, 2003 NASDAQ - ------------------------------------------------------------------------------------------------
INSTRUCTIONS: 1. (a) Name of issuer. (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2. (a) Name of person for whose account the securities are to be sold (b) Such person's I.R.S identification number, if such person is an entity (c) Such person's relationship to the issuer (e.g., officer, director, 10 percent stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3. (a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold 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 CONTROL NUMBER. OVER SEC 1147 (9-03) TABLE I--SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:
- --------------------------------------------------------------------------------------------------------------------------------- Title of Date You Nature of Acquisition Name of Person from Amount of Date of Nature of Payment the Class Acquired Transaction Whom Acquired Securities Payment (If gift, also give Acquired date donor acquired) - --------------------------------------------------------------------------------------------------------------------------------- Common Stock 07/31/2000 Stock Option Grant ANSI 7,500 11/28/03 Cash $0.05 Par Value Common Stock 03/17/2000 Stock Option Grant ANSI 7,875 $0.05 Par Value Common Stock 04/03/2001 Stock Option Grant ANSI 7,500 $0.05 Par Value Common Stock 02/20/2002 Stock Option Grant ANSI 5,625 $0.05 Par Value Common Stock 1990-1995 Open Market Purchase ANSI 7,722 $0.05 Par Value - ---------------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS: If the securities were purchased and full payment therefore was not made in cash at the time of purchase, explain in the table or in note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto. - -------------------------------------------------------------------------------- TABLE II--SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
- ------------------------------------------------------------------------------------------------------------------------------------ Name and Address of Seller Title of Securities Sold Date of Sale Amount of Gross Proceeds Securities Sold - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
REMARKS: (1) On August 29, 2003, James P. Calhoun, Vice President-Human Resources of Advanced Neuromodulation Systems, Inc. (ANS), entered into a "Preset Diversification Program" (PDP), a stock disposition plan intended to qualify for the safe harbor offered by Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, with an effective date of November 28, 2003. Under Mr. Calhoun' PDP, he authorized his broker to sell up to 36,222 shares of ANS common stock (7,722 shares owned outright by Mr. Calhoun and 28,500 shares which Mr. Calhoun will obtain by exercising certain stock options). The shares covered by this Form 144 are being sold pursuant to this PDP. Mr. Calhoun has informed the Company that the purpose of his PDP is to assist him in the diversification of his portfolio. Mr. Calhoun represented to the Company that he had no knowledge of any material nonpublic information regarding the Company when he adopted his written PDP plan. INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. November 28, 2003 ---------------------------------------- (DATE OF NOTICE) ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. James P. Calhoun BY: /s/Linda Moses, by Power of Attorney ---------------------------------------- (SIGNATURE) The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) SEC 1147 (9-03) -----END PRIVACY-ENHANCED MESSAGE-----