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