SEC FORM
4
SEC Form 4
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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*
ONE EMBARCADERO CENTER |
SUITE 4050 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CUTERA INC
[ CUTR ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 04/05/2004
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
04/05/2004 |
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C |
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1,375,000 |
A |
$0
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1,375,000 |
I |
See Footnote #1
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Common Stock |
04/05/2004 |
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S |
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375,000 |
D |
$0
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1,000,000 |
I |
See Footnote #1
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series B Preferred Stock |
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04/05/2004 |
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C |
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1,375,000 |
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Common Stock |
1,375,000 |
$0
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0 |
I |
See Footnote #1
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1. Name and Address of Reporting Person*
ONE EMBARCADERO CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADERO CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADERO CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADEOR CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADEOR CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADEOR CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADEOR CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADEOR CENTER |
SUITE 4050 |
(Street)
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1. Name and Address of Reporting Person*
ONE EMBARCADEOR CENTER |
SUITE 4050 |
(Street)
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Explanation of Responses: |
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/s/ Guy Nohra, Vice President, Alta Partners |
04/05/2004 |
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/s/ Guy Nohra, Member, Alta California Management II, LLC |
04/05/2004 |
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/s/ Garrett Gruener, Member, Alta Embarcadero Partners II, LLC |
04/05/2004 |
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/s/ Jean Deleage |
04/05/2004 |
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/s/ Garrett Gruener |
04/05/2004 |
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/s/ Alix Marduel |
04/05/2004 |
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/s/ Guy Nohra |
04/05/2004 |
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/s/ Daniel Janney |
04/05/2004 |
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/s/ Guy Nohra, Member, Alta California Management II, LLC, Its General Partner |
04/05/2004 |
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** 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. |
rrd29568_33591.html
Footnote #1
Guy Nohra, Director is a member of Alta California Management Partners II. LLC ("ACMPII")
(which is the general partner ("gp") of Alta California Partners II, L.P. ("ACPII") and a member of
Alta Embarcadero Partners II, LLC ("AEPII"). He disclaims beneficial ownership of all such shares
held by all of the foregoing funds except to the extent of his proportionate pecuniary interests
therein. Alta Partners ("AP") provides investment advisory services to several venture capital
funds including ACPII & AEPII. At the Issuer's initial public offering ("IPO") ACPII sold 370,322
share of Common Stock ("Cm") and AEPII sold 4,678 shares of Cm. As a result of the IPO, AP is
no longer a 10% owner. ACPII now beneficially owns 987,524 shares of Cm and AEPII
beneficially owns 12,476 shares of Cm. The respective gp of ACPII & members of AEPII exercise
sole voting and investment power with respect to the shares owned by such funds. Jean Deleage,
Garett Gruener, Guy Nohra, Daniel Janney and Alix Marduel are members of ACMPII (which is
the gp of ACPII), and Jean Deleage, Garrett Gruener and Guy Nohra are members of AEPII
(collectively known as the "principals"). As members of such funds, they may be deemed to share
voting and investment powers for the shares held by the funds. The principals disclaim beneficial
ownership of all such shares held by the foregoing funds, except to the extent of their
proportionate pecuniary interests therein.