-----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, PYoCgad5wrsIDyOb+NmKyHWMedDE7tvuI73M+h2ohQif2yoimOnlxxBm/0uO7YHI pOR1AFbcoSxSsnSp/eq7kw== 0001289922-09-000001.txt : 20090603 0001289922-09-000001.hdr.sgml : 20090603 20090603171534 ACCESSION NUMBER: 0001289922-09-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090603 FILED AS OF DATE: 20090603 DATE AS OF CHANGE: 20090603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Luppi Kenneth J CENTRAL INDEX KEY: 0001289922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11388 FILM NUMBER: 09872059 MAIL ADDRESS: STREET 1: PLC SYSTEMS INC. STREET 2: 10 FORGE PARK CITY: FRANKLIN STATE: MA ZIP: 02038 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PLC SYSTEMS INC CENTRAL INDEX KEY: 0000879682 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 043153858 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10 FORGE PK CITY: FRANKLIN STATE: MA ZIP: 02038 BUSINESS PHONE: 5085418800 MAIL ADDRESS: STREET 1: 10 FORGE PARK CITY: FRANKLIN STATE: MA ZIP: 02038 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2009-06-03 0 0000879682 PLC SYSTEMS INC PLCSF 0001289922 Luppi Kenneth J C/O PLC SYSTEMS INC. 10 FORGE PARK FRANKLIN MA 02038 0 1 0 0 VP, Operations Stock Option (Right to Buy) 0.56 2009-06-03 4 D 0 15500 D 2010-10-26 Common Stock 15500 0 D Stock Option (Right to Buy) 0.65 2009-06-03 4 D 0 10000 D 2011-07-29 Common Stock 10000 0 D Stock Option (Right to Buy) 0.55 2009-06-03 4 D 0 50000 D 2011-12-18 Common Stock 50000 0 D Stock Option (Right to Buy) 0.45 2009-06-03 4 D 0 55333 D 2013-03-25 Common Stock 55333 0 D Stock Option (Right to Buy) 0.69 2009-06-03 4 D 0 30000 D 2013-08-05 Common Stock 30000 0 D Stock Option (Right to Buy) 0.81 2009-06-03 4 D 0 80000 D 2014-05-18 Common Stock 80000 0 D Stock Option (Right to Buy) 0.55 2009-06-03 4 D 0 72727 D 2015-05-23 Common Stock 72727 0 D Stock Option (Right to Buy) 0.67 2009-06-03 4 D 0 50000 D 2016-05-16 Common Stock 50000 0 D Stock Option (Right to Buy) 0.64 2009-06-03 4 D 0 50000 D 2017-06-12 Common Stock 50000 0 D Stock Option (Right to Buy) 0.37 2009-06-03 4 D 0 50000 D 2018-06-17 Common Stock 50000 0 D Stock Option (Right to Buy) 0.24 2009-06-03 4 A 0 463560 A 2014-06-02 Common Stock 463560 463560 D The cancelled option was fully vested. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on October 27, 2000. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on July 30, 2001. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on December 19, 2001. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on March 26, 2003. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on August 6, 2003. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 19, 2004. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 24, 2005. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on May 17, 2006. The cancelled option provided for vesting in three equal annual installments beginning on the one-year anniversary of the date of grant. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on June 13, 2007. On June 3, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on June 18, 2008. The option provides for 1/3 of the underlying number of shares to vest on the one-year anniversary of the date of grant and an additional 1/12 of the underlying number of shares to vest at the end of each successive three-month period following the one-year anniversary of the date of grant. On June 3, 2009, the issuer granted the reporting person an option for the same number of shares as were underlying the options that were cancelled on the same date pursuant to the issuer's option exchange program. /s/ Kenneth J. Luppi 2009-06-03 -----END PRIVACY-ENHANCED MESSAGE-----