0001144204-14-001993.txt : 20140113
0001144204-14-001993.hdr.sgml : 20140113
20140113212755
ACCESSION NUMBER: 0001144204-14-001993
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140109
FILED AS OF DATE: 20140113
DATE AS OF CHANGE: 20140113
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Patient Safety Technologies, Inc
CENTRAL INDEX KEY: 0000812301
STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842]
IRS NUMBER: 133419202
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: TWO VENTURE PLAZA
STREET 2: TWO VENTURE, SUITE 350
CITY: IRVINE,
STATE: CA
ZIP: 92618
BUSINESS PHONE: 949-387-2277
MAIL ADDRESS:
STREET 1: TWO VENTURE PLAZA
STREET 2: TWO VENTURE, SUITE 350
CITY: IRVINE,
STATE: CA
ZIP: 92618
FORMER COMPANY:
FORMER CONFORMED NAME: Patient Safety Technologies
DATE OF NAME CHANGE: 20050406
FORMER COMPANY:
FORMER CONFORMED NAME: Patient Safety Technologies, Inc
DATE OF NAME CHANGE: 20050406
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN CAPITAL CORP
DATE OF NAME CHANGE: 19990505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CLEARMAN STEPHEN J
CENTRAL INDEX KEY: 0001032874
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09727
FILM NUMBER: 14525567
MAIL ADDRESS:
STREET 1: ONE EXECUTIVE DRIVE, SUITE 160
CITY: FORT LEE
STATE: NJ
ZIP: 07024
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Shah Tushar
CENTRAL INDEX KEY: 0001487632
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09727
FILM NUMBER: 14525568
MAIL ADDRESS:
STREET 1: ONE EXECUTIVE DRIVE
STREET 2: SUITE 160
CITY: FORT LEE
STATE: NJ
ZIP: 07024
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KINDERHOOK PARTNERS, LLC
CENTRAL INDEX KEY: 0001542439
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09727
FILM NUMBER: 14525569
BUSINESS ADDRESS:
STREET 1: 2 EXECUTIVE DRIVE
STREET 2: SUITE 585
CITY: FORT LEE
STATE: NJ
ZIP: 07024
BUSINESS PHONE: 201-882-0081
MAIL ADDRESS:
STREET 1: 2 EXECUTIVE DRIVE
STREET 2: SUITE 585
CITY: FORT LEE
STATE: NJ
ZIP: 07024
FORMER NAME:
FORMER CONFORMED NAME: KINDERHOOK CAPITAL MANAGEMENT, LLC
DATE OF NAME CHANGE: 20120214
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KINDERHOOK GP LLC
CENTRAL INDEX KEY: 0001266402
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09727
FILM NUMBER: 14525570
BUSINESS ADDRESS:
STREET 1: 1 EXECUTIVE DRIVE
STREET 2: SUITE 160
CITY: FORT LEE
STATE: NJ
ZIP: 07024
BUSINESS PHONE: 2124808421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KINDERHOOK, LP
CENTRAL INDEX KEY: 0001220338
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09727
FILM NUMBER: 14525571
BUSINESS ADDRESS:
STREET 1: ONE EXECUTIVE DRIVE, SUITE 160
STREET 2: SUITE 160
CITY: FORT LEE
STATE: NJ
ZIP: 07024
BUSINESS PHONE: 201-461-0955
MAIL ADDRESS:
STREET 1: ONE EXECUTIVE DRIVE, SUITE 160
STREET 2: SUITE 160
CITY: FORT LEE
STATE: NJ
ZIP: 07024
FORMER NAME:
FORMER CONFORMED NAME: KINDERHOOK PARTNERS, LP
DATE OF NAME CHANGE: 20100217
FORMER NAME:
FORMER CONFORMED NAME: KINDERHOOK PARTNERS L P
DATE OF NAME CHANGE: 20030224
4
1
v365346_4.xml
OWNERSHIP DOCUMENT
X0306
4
2014-01-09
0
0000812301
Patient Safety Technologies, Inc
PSTX
0001220338
KINDERHOOK, LP
TWO EXECUTIVE DRIVE
SUITE 585
FORT LEE
NJ
07024
0
0
1
0
0001266402
KINDERHOOK GP LLC
TWO EXECUTIVE DRIVE
SUITE 585
FORT LEE
NJ
07024
0
0
1
0
0001542439
KINDERHOOK PARTNERS, LLC
TWO EXECUTIVE DRIVE
SUITE 585
FORT LEE
NJ
07024
0
0
1
0
0001487632
Shah Tushar
TWO EXECUTIVE DRIVE
SUITE 585
FORT LEE
NJ
07024
0
0
1
0
0001032874
CLEARMAN STEPHEN J
TWO EXECUTIVE DRIVE
SUITE 585
FORT LEE
NJ
07024
0
0
1
0
Common Stock, par value $0.0001
2014-01-09
4
S
0
1849918
2.20
D
5509517
D
Common Stock, par value $0.0001
2014-01-10
4
S
0
50000
2.20
D
5459517
D
Kinderhook Partners, LLC serves as the investment adviser to Kinderhook, LP (the "Partnership"). Kinderhook GP, LLC serves as the general partner (the "General Partner") to the Partnership, and Messrs. Tushar Shah and Stephen Clearman serve as the General Partner's managing members, responsible for making investment decisions with respect to the Partnership and, as a result, Mr. Shah and Mr. Clearman may be deemed to control such entities. In addition, Mr. Shah and Mr. Clearman are responsible for making investment decisions with respect to Kinderhook Partners, LLC. Accordingly, Mr. Shah and Mr. Clearman may be deemed to have a beneficial interest in the shares of Common Stock by virtue of their indirect control of the Partnership's, the General Partner's and Kinderhook Partners, LLC's power to vote and/or dispose of the shares of Common Stock.
Mr. Shah and Mr. Clearman disclaim beneficial ownership of the shares of Common Stock except to the extent of his respective pecuniary interest, if any, therein. Kinderhook Partners, LLC and the General Partner specifically disclaim beneficial ownership in the shares of Common Stock reported herein except to the extent of their pecuniary interest therein, if any.
/s/ Tushar Shah, Managing Member of Kinderhook, LP's General Partner
2014-01-13
/s/ Tushar Shah, Managing Member of Kinderhook GP, LLC
2014-01-13
/s/ Tushar Shah, Managing Member of Kinderhook Partners, LLC
2014-01-13
/s/ Tushar Shah
2014-01-13
/s/ Stephen J. Clearman
2014-01-13