0001181431-13-006991.txt : 20130205 0001181431-13-006991.hdr.sgml : 20130205 20130205195329 ACCESSION NUMBER: 0001181431-13-006991 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130201 FILED AS OF DATE: 20130205 DATE AS OF CHANGE: 20130205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Francis, John P. CENTRAL INDEX KEY: 0001480019 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09727 FILM NUMBER: 13575613 MAIL ADDRESS: STREET 1: 43460 RIDGE PARK DRIVE, SUITE 140 CITY: TEMECULA STATE: CA ZIP: 92590 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 4 1 rrd368728.xml X0306 4 2013-02-01 0 0000812301 Patient Safety Technologies, Inc PSTX.OB 0001480019 Francis, John P. 1453 THIRD STREET SUITE 470 SANTA MONICA CA 90401 1 0 0 0 Common Stock 2013-02-01 4 P 0 230000 1.81 A 3206840 I See footnote 4. Common Stock 2013-02-01 4 S 0 230000 1.81 D 3206840 I See footnote 4. Shares of Issuer's common stock (the "Shares") purchased by Catalysis Offshore Ltd., a company organized in the Cayman Islands ("Catalysis Ltd."), from Catalysis Partners, LLC ("Catalysis LLC"), a Delaware limited liability company. The Reporting Person is the managing member of Francis Capital Management, LLC, a California limited liability company ("FCM"), which is the managing member of Catalyis LLC and the investment manager of Catalysis Ltd. The Reporting Person has sole voting and dispositive power over Shares held by Catalysis LLC and Catalysis Ltd. See also footnote 4. See footnote 4 for explanation of holdings and ownership. Shares sold by Catalysis LLC to Catalysis Ltd. As the managing member of FCM, the Reporting Person has sole voting and dispositive power over Shares held by Catalysis LLC and Catalysis Ltd. See also footnote 4. Ownership: 152,640 Shares held by FCM, 1,488,864 Shares held by Catalysis LLC, and 1,565,336 Shares held by Catalysis Ltd. of which the Reporting Person has sole voting and dispositive power but disclaims beneficial ownership except to the extent of his pecuniary interest therein. The inclusion of disclaimed Shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. /s/ John P. Francis 2013-02-05