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IPO registrations (S-1, F-1) · Registrants

BAXANO SURGICAL, INC.

SEC CIK
1230355 · filings on EDGAR ↗
Name on the registration
TRANS1 INC
Former names
TRANS1 INC (2003–2013)
Registration
Form S-1, first filed 2007-07-24, last 2007-10-12; 1 initial registration, 4 amendments
Outcome
Final prospectus filed 2007-10-17; declared effective 2007-10-16
Industry (SIC)
Surgical & Medical Instruments & Apparatus 3841
Incorporated in
DE
Business address
110 HORIZON DRIVE, SUITE 230, Raleigh, NC 27615
EDGAR entity type
operating
Insiders and CEO pay
BAXANO SURGICAL, INC. on the corporate pages

Offering terms

Proposed price range
$12.00–$14.00 per share (S-1/A filed 2007-10-12)
Final price
$15.00 per share, above the range (424B4 filed 2007-10-17, an initial public offering)
Shares sold
5,500,000
Gross proceeds
$82,500,000 before underwriting discounts and any over-allotment option
Listing
Nasdaq under the symbol TSON
Lead underwriters
Lehman Brothers; Piper Sandler
Syndicate
Cowen; Wachovia

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

Filings 8

FiledFormWhat it isName as filedEDGAR
2007-07-24S-1S-1 (registration)TRANS1 INC0000950144-07-006784 ↗
2007-09-04S-1/AS-1/A (amendment)TRANS1 INC0000950134-07-019456 ↗
2007-09-28S-1/AS-1/A (amendment)TRANS1 INC0000892569-07-001216 ↗
2007-10-09S-1/AS-1/A (amendment)TRANS1 INC0000950134-07-021018 ↗
2007-10-12S-1/AS-1/A (amendment)TRANS1 INC0000892569-07-001295 ↗
2007-10-16EFFECTEFFECT (declared effective)TRANS1 INC9999999995-07-004062 ↗
2007-10-17S-1MEFS-1MEF (added securities)TRANS1 INC0000950134-07-021454 ↗
2007-10-17424B4424B4 (final prospectus)TRANS1 INC0000950137-07-015647 ↗

Prospectus pages read 2

FiledFormRead asRangePriceSharesProceedsListingUnderwritersWhat was foundDocument
2007-10-12S-1/Aregistration statement$12.00–$14.005,500,000-Nasdaq TSON4primary document; range, price line, shares headline, proceeds computed, price outside the range dropped, cover names 4document ↗
2007-10-17424B4final prospectus$15.005,500,000$82,500,000Nasdaq TSON4primary document; price sentence, shares headline, proceeds table, cover names 4document ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
Advanced Technology Ventures VII(B), L.P.TenPercentOwner42007–2011
Advanced Technology Ventures VII(C), L.P.TenPercentOwner42007–2011
ADVANCED TECHNOLOGY VENTURES VII LPTenPercentOwner42007–2011
Assell Robert L.OfficerVP, Product Development22007
ATV Associates VII, L.L.C.TenPercentOwner42007–2011
ATV Entrepreneurs VII, L.P.TenPercentOwner42007–2011
Carusi Michael ADirector92007–2012
CUTLASS CAPITAL AFFILIATES FUND LPTenPercentOwner22007
CUTLASS CAPITAL LPTenPercentOwner22007
Cutlass Capital Management, L.L.C.TenPercentOwner22007
Cutlass Capital Principals Fund, L.L.C.TenPercentOwner22007
DANN MITCHELLDirector122007–2011
DELPHI BIOINVESTMENTS VI LPTenPercentOwner102007–2011
DELPHI MANAGEMENT PARTNERS VI LLCTenPercentOwner102007–2011
DELPHI VENTURES VI LPTenPercentOwner102007–2011
Hetz Edwin DavidTenPercentOwner12007
Jackson William F.OfficerVP Regulatory Clinical Quality12007
Luetkemeyer Michael L.OfficerChief Financial Officer22007–2008
Martin Robert S.OfficerVP, International Sales32007–2011
Osgood Jonathan W.Director82007–2012
RANDALL RICHARD DDirector; Director,OfficerCEO; Chairman of the Board; Executive Chairman; President, CEO92007–2012
SAPIENT CAPITAL LPTenPercentOwner22007
Sapient Capital Management, L.L.C.TenPercentOwner22007
Sapient Capital Management, L.P.TenPercentOwner22007
SHAPIRO JAMES MDirector132007–2014
SIMMONS RICARDO JOfficerVP, Marketing and Sales42007–2008
SLATTERY JOSEPH PDirector; OfficerExecutive V.P. and CFO; Executive VP and CFO212007–2013
ATV Alliance 2002, L.P.TenPercentOwner22008–2011
ATV Alliance Associates, L.L.C.TenPercentOwner22008–2011
LAVIOLETTE PAUL ADirector92008–2014
BOCHNOWSKI JAMES JTenPercentOwner72009
Delphi BioInvestments VIII LPTenPercentOwner82009–2011
Delphi Management Partners VIII, L.L.C.TenPercentOwner82009–2011
DELPHI VENTURES VIII LPTenPercentOwner82009–2011
DOUGLASS DAVID LTenPercentOwner72009
MARONEY JOHN FTenPercentOwner72009
PAKIANATHAN DEEPIKATenPercentOwner72009
ROEDER DOUGLAS ATenPercentOwner72009
Reali Kenneth MichaelDirector,Officer; OfficerPresident and CEO; President & CEO; President & COO112010–2014
Montgomery Bobby DwayneOfficerVice President, Sales; VP, Sales52010–2013
SIMPSON DAVID JDirector192010–2014
Feiler Frederic Charles JROfficerVice President of Marketing; VP of Marketing62010–2014
Ainsworth Stephen DOfficerVP of Research and Development62010–2014
Ramchandani MukeshOfficerVP Business Development; VP, Business Development52010–2014
Fischgrund JeffreyDirector52012–2014
Fitts Stephanie MOfficerVP - Regulatory, Qlty & Compl; VP-Regulatory, Qlty & Control42012–2014
Stautberg MarkDirector52013–2014
HIRSCH RUSSELL CDirector; Director,TenPercentOwner32013–2014
Welsh GregOfficerVice President of Operations; VICE PRESIDENT OF OPERATIONS32013–2014
Young Roderick ADirector32013–2014
Prospect Management Co. III, L.L.C.TenPercentOwner12013
Prospect Venture Partners III L PTenPercentOwner12013
SCHNELL DAVIDTenPercentOwner12013
Shannon Timothy MOfficerInterim CFO22013–2014
Slusser Greg DOfficerVP of Commercial Operations32013–2014
Pickens MatthewOfficerPlease see remarks12014

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Private offerings before or after (Form D)

First filedIssuerIndustryOfferingSoldInvestorsFilings
2014-03-26BAXANO SURGICAL, INC.Other Health Care$9,993,680$9,993,68051

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

RecordName as filedWhereDatasetMatched by
Business registrationBaxano Surgical, Inc.NCState business registriesname and state
Business registrationBaxano Surgical, Inc.NCState business registriesname and state
Business registrationBAXANO SURGICAL, INC.NCState business registriesname and state
Business registrationBAXANO SURGICAL, INC.NCState business registriesname and state
Plan sponsorBAXANO SURGICALNCForm 5500 (employee benefit plans)name and state
Federal award recipientBAXANO SURGICAL, INC.NCFederal spending (USAspending)name and state
Form D issuerBAXANO SURGICAL, INC.NCForm D private offeringsCIK (EXACT)
Patent assigneeBaxano Surgical, Inc.NCPatents (USPTO)name and state
SEC filerBAXANO SURGICAL, INC.SEC filers (EDGAR)CIK (EXACT)
Trademark ownerBAXANO SURGICAL, INC.NCTrademarks (USPTO)name and state

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.

Others with the same interests

SIC industry Surgical & Medical Instruments & Apparatus, NC first:

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In other datasets, the same topic (Technology) in NC:

Interests: Surgical & Medical Instruments & Apparatus · Technology