FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AtriCure, Inc. [ ATRC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/10/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 08/10/2006 | X | 788(1) | A | $5.96 | 194,079 | D | |||
Common Stock | 08/10/2006 | X | 788 | D | $5.96 | 738,417 | I | Held by Charter Ventures IV Partners, LLC(2) | ||
Common Stock | 08/10/2006 | X | 788 | D | $5.96 | 8,713 | I | Held by Charter Advisors Fund IV, L.P.(3) | ||
Common Stock | 08/10/2006 | X | 788 | D | $5.96 | 27,399 | I | Held by Charter Entrepreneures Fund IV, L.P.(4) | ||
Common Stock | 08/10/2006 | X | 788 | D | $5.96 | 702,305 | I | Held by Charter Ventures IV, L.P.(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Warrants (Right to Buy) | $5.43 | 08/10/2006 | X | 8,810 | 04/22/2002 | 08/10/2006 | Common Stock | 788(6) | (7) | 0 | D |
Explanation of Responses: |
1. On August 10, 2006, 8,810 warrants owned by Dr. Harrison were automatically exercised pursuant to a net issue exercise, resulting in his acquisition of 788 shares of Common Stock. The warrants were exercisable at $5.96 per share (a price equal to the closing average of the Common Stock for the 10 trading days prior to August 10, 2006). |
2. Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
3. Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
4. Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
5. Dr. Harrison disclaims beneficial ownership of the securities held by this entity, except as to his pecuniary interest therein. |
6. The net number of shares of Common Stock issuable upon the exercise of 8,810 warrants, calculated pursuant to the terms of the warrant. |
7. Not applicable. |
/s/ Thomas J. Etergino as Attorney-in-Fact for Donald C. Harrison | 08/14/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |