Statistiques de base
| CIK | 1230355 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Baxano Surgical, Inc.
SEC Filings (Chronological Order)
Cette page fournit une liste complète et chronologique des documents déposés auprès de la SEC, à l'exclusion des documents relatifs à la participation que nous fournissons ailleurs.
| February 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 3)* Baxano Surgical, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89385X 105 (CUSIP Number) December 31, 2014 (Date of Event Which |
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| November 24, 2014 |
BAXS / Baxano Surgical, Inc. 25 - - FORM 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33744 Issuer: BAXANO SURGICAL, INC. Exchange: NASDAQ Stock Market LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or |
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| November 14, 2014 |
Baxano Surgical To Sell Product Lines Through Voluntary Chapter 11 Court Supervised Auction Process EX-99.1 2 v394323ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Baxano Surgical To Sell Product Lines Through Voluntary Chapter 11 Court Supervised Auction Process DIP Financing to Support Baxano Surgical’s Operations Raleigh, NC – November 13, 2014 (GLOBE NEWSWIRE) - Baxano Surgical, Inc. (Nasdaq:BAXS), a medical device company focused on designing, developing and marketing minimally invasive products to t |
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| November 14, 2014 |
8-K 1 v3943238k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of inc |
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| November 14, 2014 |
BAXANO SURGICAL, INC. ANNOUNCES TERMINATION OF ITS NASDAQ LISTING Exhibit 99.2 BAXANO SURGICAL, INC. ANNOUNCES TERMINATION OF ITS NASDAQ LISTING RALEIGH, N.C. (November 13, 2014) – Baxano Surgical, Inc. (NASDAQ: BAXS) announced today that it is terminating its listing on The Nasdaq Global Market as of the close of business on November 24, 2014. The company has previously received notices from Nasdaq that it has failed to maintain a minimum bid price of $1.00 per |
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| November 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission |
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| October 31, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission |
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| September 24, 2014 |
Exhibit 10.4 SUBORDINATION AGREEMENT This Subordination Agreement is made as of , 2014 by and among each of the undersigned creditors (individually, a “Creditor” and, collectively, the “Creditors”), BAXANO SURGICAL, INC., a Delaware corporation (“Borrower”), and the undersigned lenders (individually, a “Lender” and collectively, the “Lenders”). Recitals A. Borrower has obtained certain loans or ot |
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| September 24, 2014 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September 23, 2014, by and among Baxano Surgical, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). RECITALS A. The Company and each Pur |
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| September 24, 2014 |
EX-10.3 3 v389936ex10-3.htm EXHIBIT 10.3 Exhibit 10.3 SUBORDINATION AGREEMENT This Subordination Agreement is made as of , 2014 by and among each of the undersigned creditors (individually, a “Creditor” and, collectively, the “Creditors”), BAXANO SURGICAL, INC., a Delaware corporation (“Borrower”), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC. (the “Lender”). Recitals A. Borrower has requested and/ |
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| September 24, 2014 |
8-K 1 v3899368k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 23, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction |
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| August 14, 2014 |
BAXS / Baxano Surgical, Inc. 10-Q - Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33744 BAXANO SURGICAL, INC. |
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| August 5, 2014 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 v3857518k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of |
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| August 5, 2014 |
EX-99.1 2 v385751ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Baxano Surgical, Inc. Reports Operating Results for the Second Quarter of 2014, Issues Third Quarter 2014 Guidance – Second quarter revenue of $4.7 million, representing year-over-year growth of 20.1% and sequential growth of 5.5% – –Net loss per share was $0.12 for the quarter, an improvement of 53.8% year-over-year and 36.8% sequentially – – |
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| July 31, 2014 |
BAXS / Baxano Surgical, Inc. S-3 - - FORM S-3 As Filed With the Securities and Exchange Commission on July 31, 2014 Registration No. |
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| July 24, 2014 |
BAXS / Baxano Surgical, Inc. / DELPHI VENTURES VI LP - SC 13G/A Passive Investment SC 13G/A 1 v384583sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 6)* Baxano Surgical, Inc. (f/k/a TranS1, Inc.) (Name of Issuer) Common Stock (Title of Class of Securities) 071773105 (CUSIP Number) July |
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| July 14, 2014 |
EX-10.1 2 v383764ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 MODIFICATION AGREEMENT THIS MODIFICATION AGREEMENT (the “Modification Agreement”) is entered into this 11th day of July 2014, by and between BAXANO SURGICAL, INC., a Delaware corporation (the “Company”) and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (“LPC”). Capitalized terms used herein that are not defined shall hav |
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| July 14, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission Fil |
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| June 17, 2014 |
Baxano Surgical, Inc. 110 Horizon Drive, Suite 230 Raleigh, North Carolina 27615 June 17, 2014 By EDGAR Transmission United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attention: Russell Mancuso Re: Baxano Surgical, Inc. Amendment No. 1 to Registration Statement on Form S-3 File No. 333-195648 Ladies and Gentlemen: In accordance with Rule 461 under the Securit |
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| June 12, 2014 |
Goodwin Procter LLP Counselors at Law Exchange Place Boston, MA 02109 T: 617.570.1000 F: 617.523.1231 goodwinprocter.com June 12, 2014 VIA EDGAR AND FEDERAL EXPRESS United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4561 100 F Street, N.E. Washington, D.C. 20549 Attention: Russell Mancuso Re: Baxano Surgical, Inc. Registration Statement on Form S-3 Filed May |
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| June 12, 2014 |
S-3/A 1 v381170s3a.htm FORM S-3/A As Filed With the Securities and Exchange Commission on June 12, 2014 Registration No. 333-195648 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 33-0909022 (State or other |
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| June 6, 2014 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File |
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| June 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 110 Horizon Drive, Suite 230 Raleigh, North Carolina 27615 (A |
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| May 13, 2014 | ||
| May 13, 2014 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33744 BAXANO SURGICAL, INC. |
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| May 8, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File |
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| May 8, 2014 |
Exhibit 99.1 Baxano Surgical, Inc. Reports Operating Results for the First Quarter of 2014, Issues Second Quarter 2014 Guidance – First quarter revenue was $4.4 million – – Net loss per share was $0.19 for the quarter – – Avance™ MIS Pedicle Screw System receives FDA clearance– – $10 million financing completed– RALEIGH, NC – (GLOBE NEWSWIRE) — May 8, 2014 — Baxano Surgical, Inc. (NASDAQ: BAXS), a |
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| May 2, 2014 |
As Filed With the Securities and Exchange Commission on May 2, 2014 Registration No. |
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| May 2, 2014 |
As filed with the Securities and Exchange Commission on May 2, 2014 Registration No. |
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| April 17, 2014 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 17, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive |
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| March 14, 2014 |
8-K 1 v3716998k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of |
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| March 14, 2014 |
GENERAL RELEASE AND SEVERANCE AGREEMENT Exhibit 10.4 GENERAL RELEASE AND SEVERANCE AGREEMENT This GENERAL RELEASE AND SEVERANCE AGREEMENT (the “GENERAL RELEASE AGREEMENT”) is made and entered into between Baxano Surgical Inc., a Delaware corporation having a principal place of business in North Carolina (the “Company”) and Frederic Feiler, a resident of North Carolina (the “Employee”). Throughout the remainder of this GENERAL RELEASE AG |
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| March 14, 2014 |
EX-10.1 2 v371699ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 11, 2014, by and among Baxano Surgical, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). |
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| March 14, 2014 |
Exhibit 99.1 Baxano Surgical, Inc. Announces $10 Million Private Placement of Convertible Debentures Secures Capital to Build Product Portfolio and Execute Commercial Growth Strategy Focused on Minimally Invasive Spine RALEIGH, N.C., March 11, 2014 (GLOBE NEWSWIRE) — Baxano Surgical, Inc. (NASDAQ:BAXS) (“Baxano Surgical” or the “Company”), a medical device company focused on designing, developing |
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| March 14, 2014 |
EX-10.3 3 v371699ex10-3.htm EXHIBIT 10.3 Exhibit 10.3 SUBORDINATION AGREEMENT This Subordination Agreement is made as of March 11, 2014 by and among each of the undersigned creditors (individually, a “Creditor” and, collectively, the “Creditors”), BAXANO SURGICAL, INC., a Delaware corporation (“Borrower”), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC. (the “Lender”). Recitals A. Borrower has reques |
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| March 14, 2014 |
Baxano Surgical, Inc. Announces Changes to Executive Management Team Exhibit 99.2 Baxano Surgical, Inc. Announces Changes to Executive Management Team RALEIGH, NC — (GLOBE NEWSWIRE)—March 14, 2014— Baxano Surgical, Inc. (NASDAQ:BAXS), a medical device company focused on designing, developing and marketing minimally invasive products to treat degenerative conditions of the spine affecting the lumbar region, today announced changes to its executive management team. · |
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| March 14, 2014 |
GENERAL RELEASE AND SEVERANCE AGREEMENT EX-10.4 4 v371699ex10-4.htm EXHIBIT 10.4 Exhibit 10.4 GENERAL RELEASE AND SEVERANCE AGREEMENT This GENERAL RELEASE AND SEVERANCE AGREEMENT (the “GENERAL RELEASE AGREEMENT”) is made and entered into between Baxano Surgical Inc., a Delaware corporation having a principal place of business in North Carolina (the “Company”) and Frederic Feiler, a resident of North Carolina (the “Employee”). Throughout |
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| March 14, 2014 |
Baxano Surgical, Inc. Announces Changes to Executive Management Team EX-99.2 6 v371699ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Baxano Surgical, Inc. Announces Changes to Executive Management Team RALEIGH, NC — (GLOBE NEWSWIRE)—March 14, 2014— Baxano Surgical, Inc. (NASDAQ:BAXS), a medical device company focused on designing, developing and marketing minimally invasive products to treat degenerative conditions of the spine affecting the lumbar region, today announced ch |
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| March 14, 2014 |
DEFA14A 1 v3716998k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction |
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| March 14, 2014 |
EX-10.3 3 v371699ex10-3.htm EXHIBIT 10.3 Exhibit 10.3 SUBORDINATION AGREEMENT This Subordination Agreement is made as of March 11, 2014 by and among each of the undersigned creditors (individually, a “Creditor” and, collectively, the “Creditors”), BAXANO SURGICAL, INC., a Delaware corporation (“Borrower”), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC. (the “Lender”). Recitals A. Borrower has reques |
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| March 14, 2014 |
EX-99.1 5 v371699ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Baxano Surgical, Inc. Announces $10 Million Private Placement of Convertible Debentures Secures Capital to Build Product Portfolio and Execute Commercial Growth Strategy Focused on Minimally Invasive Spine RALEIGH, N.C., March 11, 2014 (GLOBE NEWSWIRE) — Baxano Surgical, Inc. (NASDAQ:BAXS) (“Baxano Surgical” or the “Company”), a medical device |
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| March 14, 2014 |
EX-10.1 2 v371699ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 11, 2014, by and among Baxano Surgical, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). |
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| March 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 11, 2014 |
EX-10.7.1 2 v367744ex10-71.htm EXHIBIT 10.7.1 EXHIBIT 10.7.1 LIST OF INDEMNITEES Each of the individuals identified below is party to an indemnification agreement with Baxano Surgical, Inc. in the form included as Exhibit 10.7 to Baxano’s Annual Report on Form 10-K for the fiscal year ended December 31, 2013: Ken Reali Joseph Slattery Timothy M. Shannon Michael Carusi Jeffrey Fischgrund Russell Hi |
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| March 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 001-33744 BAXANO SURGICAL, INC. |
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| March 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 11, 2014 |
LIST OF EMPLOYEES PARTY TO EMPLOYMENT SEVERANCE AGREEMENT EX-10.13.1 3 v367744ex10-131.htm EXHIBIT 10.13.1 EXHIBIT 10.13.1 LIST OF EMPLOYEES PARTY TO EMPLOYMENT SEVERANCE AGREEMENT Each of the individuals identified below is party to an employment severance agreement with Baxano Surgical, Inc. in the form included as Exhibit 10.13 to Baxano’s Annual Report on Form 10-K for the fiscal year ended December 31, 2013: Ken Reali Stephen Ainsworth Rick Feiler M |
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| March 7, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 v3709788k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of i |
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| March 7, 2014 |
www.CallStreet.com • 1-877-FACTSET • Copyright © 2001-2014 CallStreet EX-99.2 3 v370978ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Baxano Surgical, Inc. BAXS Q4 2013 Earnings Call Mar. 6, 2014 Company▲ Ticker▲ Event Type▲ Date▲ MANAGEMENT DISCUSSION SECTION Operator: Good afternoon, ladies and gentlemen, and welcome to the Baxano Surgical Conference Call. As a reminder, this conference is being recorded. It is now my pleasure to introduce your host, Mr. Mark Klausner of We |
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| March 7, 2014 |
Exhibit 99.1 Baxano Surgical, Inc. Reports Operating Results for the Fourth Quarter of 2013, Issues First Quarter 2014 Guidance – Fourth quarter revenue was $6.0 million – – iO-Flex achieves 7% sequential growth, iO-Tome launched – – Net loss per share was $0.19 for the quarter – RALEIGH, NC – (GLOBE NEWSWIRE) — March 6, 2014 — Baxano Surgical, Inc. (NASDAQ: BAXS), a medical device company focused |
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| February 14, 2014 |
BAXS / Baxano Surgical, Inc. / Cmea Ventures Vii Lp - SC 13G Passive Investment SC 13G 1 d675966dsc13g.htm SC 13G CUSIP No. 89385X105 Page 1 of 15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Baxano Surgical, Inc. (Name of Issuer) Common Stock, $.001 par value per share (Title of Class of Securities) 89385X105 (CUSIP Number) May 31, 2013 (Date of Event Which Requires Filing of |
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| February 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission |
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| February 11, 2014 |
Baxano Surgical Sets Date of 2014 Annual Meeting Exhibit 99.1 Baxano Surgical Sets Date of 2014 Annual Meeting RALEIGH, NC - (GLOBE NEWSWIRE) - February 7, 2014 - Baxano Surgical, Inc. (NASDAQ: BAXS), a medical device company focused on designing, developing and marketing minimally invasive products to treat degenerative conditions of the spine affecting the lumbar region, today announced that it will be holding its Annual Meeting of Stockholder |
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| February 7, 2014 |
BAXS / Baxano Surgical, Inc. / DELPHI VENTURES VI LP - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 5)* Baxano Surgical, Inc. (f/k/a TranS1, Inc.) (Name of Issuer) Common Stock (Title of Class of Securities) 071773105 (CUSIP Number) December 31, 2013 (Date of Event Which Req |
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| January 17, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 v3656098k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 13, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction o |
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| January 17, 2014 |
Baxano Surgical Announces Preliminary Fourth Quarter and Full Year 2013 Unaudited Revenue Exhibit 99.1 Baxano Surgical Announces Preliminary Fourth Quarter and Full Year 2013 Unaudited Revenue RALEIGH, NC - (GLOBE NEWSWIRE) - January 13, 2014 - Baxano Surgical, Inc. (NASDAQ: BAXS), a medical device company focused on designing, developing and marketing minimally invasive products to treat degenerative conditions of the spine affecting the lumbar region, today announced preliminary unau |
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| January 8, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 2, 2014 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission F |
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| January 8, 2014 |
BAXANO SURGICAL, INC. TERMS OF 2014 RESTRICTED STOCK UNIT (RSU) RETENTION PROGRAM Exhibit 10.1 BAXANO SURGICAL, INC. TERMS OF 2014 RESTRICTED STOCK UNIT (RSU) RETENTION PROGRAM Goals: · Provide a collective retention plan via the use of RSUs for all key managers and individual contributors given underwater status of almost all outstanding stock options · Focus on near-term performance in addition to retention in order to minimize risk of losing key talent Pool of Available Shar |
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| January 8, 2014 |
BAXANO SURGICAL, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT Exhibit 10.2 RSU No. BAXANO SURGICAL, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT This Restricted Stock Unit Award Agreement (the “Agreement”) is entered into as of , 20, (the “Grant Date”) by and between Baxano Surgical, Inc., a Delaware corporation (the “Company”), and (the “Participant”) pursuant to the Company’s 2007 Stock Incentive Plan (the “Plan”). Any capitalized term not defined herein sha |
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| December 3, 2013 |
Exhibit 10.2 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT is made and dated as of December 3, 2013 and is entered into by and between BAXANO SURGICAL, INC., a Delaware corporation (“Borrower”), and HERCULES TECHNOLOGY GROWTH CAPITAL, INC., a Maryland corporation (“Lender”). RECITALS A. Borrower has requested Lender to make available to Borrower three (3) term loans (each a “Term Lo |
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| December 3, 2013 |
PROSPECTUS SUPPLEMENT Filed pursuant to Rule 424(b)(5) (To Prospectus dated August 1, 2011) Registration Statement No. |
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| December 3, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 3, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction (Commission (IRS Employer of i |
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| December 3, 2013 |
Exhibit 10.1 PURCHASE AGREEMENT PURCHASE AGREEMENT (the “Agreement”), dated as of December 3, 2013, by and between BAXANO SURGICAL, INC., a Delaware corporation, (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”). WHEREAS: Subject to the terms and conditions set forth in this Agreement, the Company wishes to sell to the Investor, and the Inv |
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| December 3, 2013 |
Baxano Surgical, Inc. Announces Financing Commitments for Up to $22.0 Million Exhibit 99.1 Baxano Surgical, Inc. Announces Financing Commitments for Up to $22.0 Million - Credit Facility for up to $15.0 Million with Hercules Technology Growth Capital - Stock Purchase Agreement for up to $7.0 Million with Lincoln Park Capital Fund RALEIGH, NC — (GLOBE NEWSWIRE)— December 3, 2013—Baxano Surgical, Inc. (NASDAQ:BAXS), a medical device company focused on designing, developing an |
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| December 3, 2013 |
Exhibit 10.3 THIS WARRANT AND THE SHARES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY STATE SECURITIES LAWS, AND MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR, SUBJECT TO SECTION 11 HEREOF, AN OPINION OF COUNSEL (WHICH MAY BE COMPANY COUN |
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| November 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-33744 BAXANO SURGICAL, INC. |
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| November 7, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission |
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| November 7, 2013 |
Exhibit 99.2 Baxano Surgical, Inc. BAXS Q3 2013 Earnings Call Nov. 6, 2013 Company▲ Ticker▲ Event Type▲ Date▲ PARTICIPANTS Corporate Participants Mark R. Klausner – Managing Partner, Westwicke Partners LLC Kenneth Michael Reali – President, Chief Executive Officer & Director, Baxano Surgical, Inc. Timothy M. Shannon – Interim Chief Financial Officer, Baxano Surgical, Inc. Other Participants Matt S |
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| November 7, 2013 |
Exhibit 99.1 Baxano Surgical, Inc. Reports Operating Results for the Third Quarter of 2013, Issues Fourth Quarter 2013 Guidance - Third quarter revenues were $5.7 million – -77% increase over Q3 2012 as a result of merger- - Net loss per share was $0.18 for the quarter – - Excluding special items, net loss per share was $0.17 for the quarter* - RALEIGH, NC - (GLOBE NEWSWIRE)— November 6, 2013—Baxa |
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| September 23, 2013 |
BAXS / Baxano Surgical, Inc. / CUTLASS CAPITAL LP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Baxano Surgical, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 071773 105 (CUSIP Number) August 30, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| September 20, 2013 |
866.954.8873 (fax) * [email protected] Exhibit 10.1 September 17, 2013 Greg Slusser 19960 Sweetwater Curve Shorewood, MN 55331 Dear Greg: On behalf of Baxano Surgical, Inc., I am pleased to offer you the position of Vice President of Commercial Operations, reporting to our President and CEO, Ken Reali. If you accept our offer, we would like to plan for a start date of October 7, 2013. Be advised that this offer shall be contingent upon |
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| September 20, 2013 |
Exhibit 99.1 Baxano Surgical, Inc. Announces Changes to Management Team Third quarter and full year revenue guidance reaffirmed Shareholder class-action lawsuit dismissed with prejudice RALEIGH, NC - (GLOBE NEWSWIRE)—September 20, 2013— Baxano Surgical, Inc. (NASDAQ:BAXS), a medical device company focused on designing, developing and marketing minimally invasive products to treat degenerative cond |
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| September 20, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 16, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commissio |
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| September 19, 2013 |
Exhibit 99.1 BAXANO SURGICAL, INC. 2007 STOCK INCENTIVE PLAN (ORIGINALLY ADOPTED ON JULY 19, 2007, SUBSEQUENTLY AMENDED ON APRIL 23, 2009, APRIL 12, 2011, AND MARCH 1, 2013) BAXANO SURGICAL, INC. 2007 STOCK INCENTIVE PLAN The 2007 STOCK INCENTIVE PLAN (the “Plan”) is hereby established and adopted this 19th day of July, 2007 (the “Effective Date”) by Baxano Surgical, Inc., a Delaware corporation ( |
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| September 19, 2013 |
As filed with the Securities and Exchange Commission on September 19, 2013 Registration No. |
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| August 23, 2013 |
Submission of Matters to a Vote of Security Holders - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission F |
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| August 12, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 12, 2013 |
Exhibit 99.2 PARTICIPANTS Corporate Participants Mark R. Klausner – Managing Partner, Westwicke Partners LLC Kenneth Michael Reali – President, Chief Executive Officer & Director, Baxano Surgical, Inc. Joseph P. Slattery – Chief Financial Officer & Executive Vice President, Baxano Surgical, Inc. Other Participants Matt S. Miksic – Analyst, Piper Jaffray, Inc. Greg P. Chodaczek – Analyst, First Ana |
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| August 12, 2013 |
Exhibit 99.1 Baxano Surgical, Inc. Reports Operating Results for the Second Quarter of 2013, Issues Third Quarter 2013 Guidance - Second quarter revenues were $3.9 million - - Pro Forma second quarter revenues were $5.7 million* - - Net loss per share was $0.26 for the quarter – - Excluding special items, net loss per share was $0.21 for the quarter* - - Acquisition of Baxano, Inc. and concurrent |
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| July 11, 2013 |
17,851,044 Shares Common Stock PROSPECTUS Filed Pursuant to Rule 424(b)(3) Registration No. 333-189617 17,851,044 Shares Common Stock This prospectus relates to the resale, from time to time, of up to 17,851,044 shares of Baxano Surgical, Inc. common stock, $0.0001 par value per share, being offered by the selling stockholders named in this prospectus. Such shares include (i) 10,329,035 shares acquired by certain of the selling |
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| July 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive |
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| July 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| July 3, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 28, 2013 BAXANO SURGICAL, INC. |
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| July 3, 2013 |
Baxano Surgical, Inc. Announces Definitive Settlement with Office of Inspector General Exhibit 99.1 Baxano Surgical, Inc. Announces Definitive Settlement with Office of Inspector General RALEIGH, N.C., July 3, 2013 (GLOBE NEWSWIRE) – Baxano Surgical, Inc. (Nasdaq:BAXS), a medical device company focused on designing, developing and marketing minimally invasive products to treat degenerative conditions of the spine affecting the lumbar region, today announced that it has reached a def |
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| July 3, 2013 |
Exhibit 10.1 SETTLEMENT AGREEMENT This Settlement Agreement ("Agreement") is entered into among the United States of America, acting through the United States Department of Justice and on behalf of the Office of Inspector General of the Department of Health and Human Services ("0IG-HHS"), the TRICARE Management Activity ("TMA"), the United States Office of Personnel Management ("OPM"), the United |
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| July 3, 2013 |
Exhibit 10.2 CORPORATE INTEGRITY AGREEMENT between the Office of Inspector General of the Department of Health and Human Services and Baxano Surgical, inc. I. Preamble Baxano Surgical, Inc. (“Baxano Surgical”) hereby enters into this Corporate Integrity Agreement (CIA) with the Office of Inspector General (OIG) of the United States Department of Health and Human Services (HHS) to promote complianc |
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| June 26, 2013 |
Financial Statements and Exhibits - 8-K/A CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporati |
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| June 26, 2013 |
Exhibit 99.3 BAXANO, INC. Unaudited Interim Financial Statements Statements of Operations for the Three Months Ended March 31, 2013 and 2012 Balance Sheets as of March 31, 2013 and December 31, 2012 Statements of Cash Flows for the Three Months Ended March 31, 2013 and 2012 Notes to Financial Statements Baxano, Inc. Statements of Operations (In thousands) (Unaudited) Three Months Ended March 31, 2 |
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| June 26, 2013 | ||
| June 26, 2013 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Exhibit 99.4 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION On May 31, 2013, TranS1 Inc. (now Baxano Surgical, Inc.) (the “Company”), through its wholly-owned subsidiary, RacerX Acquisition Corp. (“Merger Sub”), consummated its acquisition of Baxano, Inc. (“Baxano”), pursuant to an Agreement and Plan of Merger, dated March 3, 2013, by and among the Company, Merger Sub, Baxano, and Su |
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| June 26, 2013 |
Exhibit 99.2 BAXANO, INC. Audited Financial Statements Report of Independent Auditors Balance Sheets as of December 31, 2012 and 2011 Statements of Operations for the years ended December 31, 2012 and 2011 Statements of Convertible Preferred Stock and Stockholders’ Deficit for the years ended December 31, 2012 and 2011 Statements of Cash Flows for the years ended December 31, 2012 and 2011 Notes t |
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| June 26, 2013 |
As Filed With the Securities and Exchange Commission on June 26, 2013 Registration No. |
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| June 10, 2013 |
BAXS / Baxano Surgical, Inc. / SHAPIRO JAMES M - FORM SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (a) Baxano Surgical, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 071773 105 (CUSIP Number) James. M. Shapiro c/o Kearny Venture Partners 88 Kearny Street, Suite 1800 San Francisco, CA 9 |
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| June 10, 2013 |
EXHIBIT D JOINT FILING STATEMENT I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the Common Stock of Baxano Surgical, Inc. |
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| June 10, 2013 |
BAXS / Baxano Surgical, Inc. / THREE ARCH PARTNERS IV LP - FORM SC 13D Activist Investment SC 13D 1 v347372sc13d.htm FORM SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (a) Baxano Surgical, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 071773 105 (CUSIP Number) Wilfred E. Jaeger c/o Thre |
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| June 10, 2013 |
BAXS / Baxano Surgical, Inc. / Prospect Venture Partners III L P - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. |
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| June 10, 2013 |
BAXS / Baxano Surgical, Inc. / Cmea Ventures Vii Lp - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) Under the Securities Exchange Act of 1934 BAXANO SURGICAL, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 89385X 105 (CUSIP Number) May 31, 2013 (Date of Event Which Requires Filing of this Statement) |
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| June 3, 2013 |
Exhibit 3.1 STATE OF DELAWARE CERTIFICATE OF OWNERSHIP AND MERGER MERGING SUBSIDIARY INTO PARENT BAXANO, INC. a Delaware corporation INTO TRANS1 INC. a Delaware corporation Pursuant to section 253 of the General Corporation Law of the State of Delaware, which permits the merger of subsidiaries of a corporation with and into a parent corporation where one of the corporations is organized and existi |
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| June 3, 2013 |
Exhibit 99.1 TranS1 Inc. Announces Closing of Acquisition of Baxano, Inc. and Financing Transaction; Changes Name to Baxano Surgical, Inc. Trading under new ticker symbol “BAXS” to begin June 3, 2013 Completes financing of $17.2M at $2.28/share Two directors and Vice President of Operations appointed from former Baxano, Inc. Combined company assumes Baxano, Inc.’s credit facility RALEIGH, NC — (GL |
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| June 3, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction (Commission (IRS Employer of incor |
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| June 3, 2013 |
Exhibit 10.1 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this “Agreement”) dated as of March 15, 2012 (the “Effective Date”) among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 133 North Fairfax Street, Alexandria, Virginia 22314 (“Oxford”), as collateral agent (in such capacity, “Collateral Agent”), the Lenders listed on Schedule 1.1 hereof o |
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| June 3, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2013 BAXANO SURGICAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File |
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| June 3, 2013 |
FIRST AMENDMENT LOAN AND SECURITY AGREEMENT Exhibit 10.2 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT to Loan and Security Agreement (this “Amendment”) is entered into as of May 31, 2013, by and among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 133 North Fairfax Street, Alexandria, Virginia 22314 (“Oxford”), as collateral agent (in such capacity, “Collateral Agent”), the Lenders |
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| June 3, 2013 |
Exhibit 10.3 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is made and entered into effective as of the Effective Date (as defined in Section 4 below) (the “Effective Date”), by and between Greg Welsh (the “Employee”) and TranS1 Inc., a Delaware Corporation (the “Company”). Employee has been employed by Baxano, Inc., (Baxano”) on an at-will basis. Pursuant to an Agreement and Pl |
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| May 21, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| May 10, 2013 |
Exhibit 99.1 TranS1 Inc. Reports Operating Results for the First Quarter of 2013, Issues Second Quarter 2013 Guidance - First quarter revenues were $3.1 million - - Net loss per share was $0.26 for the quarter - - Excluding special items, net loss per share was $0.21 for the quarter* - - Acquisition of Baxano, Inc. and concurrent financing transaction expected to close May 31 - RALEIGH, NC - (GLOB |
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| May 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| May 10, 2013 |
Exhibit 99.2 PARTICIPANTS Corporate Participants Mark R. Klausner – Managing Partner, Westwicke Partners LLC Kenneth Michael Reali – President, Chief Executive Officer & Director, TranS1, Inc. Joseph P. Slattery – CFO, Executive VP & Head-Investor Relations, TranS1, Inc. Other Participants Mark Landy – Analyst, Summer Street Research Partners Jason H. Wittes – Analyst, Brean Capital LLC Spencer Na |
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| May 10, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| May 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive |
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| May 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| May 8, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 3) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| May 8, 2013 |
[TranS1 Inc. Letterhead] May 8, 2013 VIA EDGAR SUBMISSION Ms. Amanda Ravitz Assistant Director United States Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: TranS1 Inc. Amendment No. 2 to Preliminary Proxy Statement on Schedule 14A Filed April 30, 2013 File No. 001-33744 Dear Ms. Ravitz: Set forth below is our response to your comment letter dated May 7, 2013 regardi |
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| May 6, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| April 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 30, 2013 |
[TranS1 Inc. Letterhead] April 30, 2013 VIA EDGAR SUBMISSION Ms. Amanda Ravitz Assistant Director United States Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: TranS1 Inc. Amendment No. 1 to Preliminary Proxy Statement on Schedule 14A Filed April 10, 2013 File No. 001-33744 Dear Ms. Ravitz: Set forth below is our response to your comment letter dated April 25, 2013 r |
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| April 30, 2013 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 2) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| April 26, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| April 22, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 22, 2013 |
Entry into a Material Definitive Agreement - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 10, 2013 |
FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER Exhibit 2.1 EXECUTION VERSION FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER This First Amendment (this “First Amendment”) to Agreement and Plan of Merger (the “Merger Agreement”), dated as of March 3, 2013, by and among TranS1 Inc., a Delaware corporation (“TranS1”), RacerX Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of TranS1 (“Transitory Subsidiary”), Baxano, Inc., |
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| April 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| April 10, 2013 |
FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER EX-2.1 2 v341025ex2-1.htm EXHIBIT 2.1 Exhibit 2.1 EXECUTION VERSION FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER This First Amendment (this “First Amendment”) to Agreement and Plan of Merger (the “Merger Agreement”), dated as of March 3, 2013, by and among TranS1 Inc., a Delaware corporation (“TranS1”), RacerX Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of TranS1 (“T |
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| April 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 10, 2013 |
CORRESP 1 filename1.htm [TranS1 Inc. Letterhead] April 10, 2013 VIA EDGAR SUBMISSION Ms. Amanda Ravitz Assistant Director United States Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: TranS1 Inc. Preliminary Proxy Statement on Schedule 14A Filed March 8, 2013 File No. 001-33744 Dear Ms. Ravitz: Set forth below is our response to your comment letter dated April 4, 201 |
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| April 10, 2013 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 v3410258k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) |
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| April 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| March 27, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 22, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 8, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 8, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 5, 2013 |
Exhibit 99.3 TranS1 Inc. Announces Agreement to Acquire Baxano, Inc. and $17.2M Financing Commitment Conference Call to be held on March 4, 2013 at 8:30 a.m. EST Combination Adds Rapidly Growing Minimally Invasive Spinal Decompression Technology and Large Surgeon User Base Baxano Shareholders Commit $15.3M in Concurrent Financing RALEIGH, NC - (GLOBE NEWSWIRE)—March 4, 2013—TranS1 Inc. (NASDAQ:TSO |
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| March 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 5, 2013 |
DEFA14A 1 v337031defa14a.htm FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as p |
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| March 5, 2013 |
Exhibit 10.1 EXECUTION VERSION SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of the 3rd day of March, 2013, by and between TranS1 Inc. (the “Company”), a Delaware corporation, with its principal offices at 301 Government Center Drive, Wilmington, NC 28403 and each of the Investors (as defined below). IN CONSIDERATION of the mutual covenants containe |
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| March 5, 2013 |
EX-2.1 2 v336951ex2-1.htm EXHIBIT 2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among TRANS1 INC., RACERX ACQUISITION CORP., BAXANO, INC., and Sumeet Jain and David Schulte, as Securityholder Representatives Dated as of March 3, 2013 TABLE OF CONTENTS ARTICLE I THE MERGER 2 1.1 Effective Time of the Merger 2 1.2 Closing 2 1.3 Effects of the Merger 2 1.4 Certificate of Incor |
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| March 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| March 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| March 5, 2013 |
Exhibit 99.1 TranS1 Inc. Reports Operating Results for the Fourth Quarter of 2012, Issues First Quarter 2013 Guidance - Fourth quarter revenues were $4.1 million - - Net loss per share was $0.44 for the quarter – - Excluding special items, net loss per share was $0.20 for the quarter* - RALEIGH, NC - (GLOBE NEWSWIRE)— March 4, 2013—TranS1 Inc. (NASDAQ:TSON), a medical device company focused on des |
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| March 5, 2013 |
Exhibit 99.2 PARTICIPANTS Corporate Participants Mark R. Klausner – Managing Partner, Westwicke Partners, LLC Ken Reali – President, Chief Executive Officer & Director Joseph P. Slattery – CFO, Executive VP & Head-Investor Relations Other Participants Matt S. Miksic – Analyst, Piper Jaffray, Inc. David L. Turkaly – Analyst, JMP Securities LLC Spencer Nam – Analyst, Janney Montgomery Scott LLC MANA |
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| March 5, 2013 |
List of Schedules Omitted from the Merger Agreement Exhibit 2.2 List of Schedules Omitted from the Merger Agreement Included as Exhibit 2.1 Pursuant to Regulation S-K, Item 601(b)(2), the Disclosure Schedule to the Merger Agreement included as Exhibit 2.1, as described below, has not been filed. The Registrant agrees to furnish supplementally a copy of the omitted Disclosure Schedule to the Securities and Exchange Commission upon request; provided, |
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| March 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive |
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| February 20, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* TranS1 Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 89385X 105 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| February 19, 2013 |
TranS1 Appoints Mark Stautberg to Board of Directors Exhibit 99.1 TranS1 Appoints Mark Stautberg to Board of Directors WILMINGTON, N.C., February 19, 2013 - TranS1 Inc. (Nasdaq:TSON), a medical device company focused on designing, developing and marketing spine products to treat degenerative conditions of the spine affecting the lumbar region, announced today that it has appointed Mark Stautberg to serve on its Board of Directors. Mr. Stautberg has |
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| February 19, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Numb |
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| February 1, 2013 |
Exhibit 10.1 EXECUTION COPY DISTRIBUTION AGREEMENT THIS AGREEMENT is entered and executed as of October 9th, 2012 (“Effective Date”), by and between TranS1 Inc., a Delaware corporation with its principal place of business at 301 Government Center Drive, Wilmington, NC 28403 (“TRANS1”) and Jiade Sunshine, a limited liability incorporated in the People’s Republic of China with its principal place of |
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| February 1, 2013 |
Financial Statements and Exhibits - FORM 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 9, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Co |
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| January 17, 2013 |
TranS1 Inc. Announces Preliminary Unaudited Fourth Quarter 2012 Revenue TranS1 Inc. Announces Preliminary Unaudited Fourth Quarter 2012 Revenue WILMINGTON, NC - (GLOBE NEWSWIRE)— January 14, 2013—TranS1 Inc. (NASDAQ:TSON), a medical device company focused on designing, developing and marketing products to treat degenerative conditions of the spine affecting the lower lumbar region, today announced its preliminary unaudited revenue for the fourth quarter ended December |
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| January 17, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 14, 2013 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| November 13, 2012 |
Corporate Participants Mark R. Klausner PARTICIPANTS Corporate Participants Mark R. Klausner – Managing Partner, Westwicke Partners, LLC Ken Reali – President, Chief Executive Officer & Director Joseph P. Slattery – CFO and Executive VP Other Participants Matt S. Miksic – Analyst, Piper Jaffray, Inc. Greg P. Chodaczek – Analyst, First Analysis Securities Corp. Mark Landy – Analyst, Summer Street Research Partners MANAGEMENT DISCUSSION S |
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| November 13, 2012 |
TranS1 Inc. Reports Operating Results for the Third Quarter of 2012, Issues Fourth Quarter 2012 Guidance - Third quarter revenues were $3.2 million - - Net loss per share was $0.22 for the quarter - WILMINGTON, NC — (GLOBE NEWSWIRE)— November 8, 2012—TranS1 Inc. (NASDAQ:TSON), a medical device company focused on designing, developing and marketing products to treat degenerative conditions of the s |
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| November 13, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| October 12, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 9, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number |
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| October 12, 2012 |
TranS1 Inc. Announces Distribution Agreement in China Exhibit 99.1 TranS1 Inc. Announces Distribution Agreement in China Wilmington, N.C., October 10, 2012 (GLOBE NEWSWIRE) - TranS1 Inc. (NASDAQ:TSON), a medical device company focused on designing, developing and marketing products to treat degenerative conditions of the spine affecting the lower lumbar region, announced today the signing of a distribution agreement with Beijing Jiade Sunshine (“Jiad |
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| October 12, 2012 |
Exhibit 10.1 EXECUTION COPY DISTRIBUTION AGREEMENT THIS AGREEMENT is entered and executed as of October 9th, 2012 (“Effective Date”), by and between TranS1 Inc., a Delaware corporation with its principal place of business at 301 Government Center Drive, Wilmington, NC 28403 (“TRANS1”) and Jiade Sunshine, a limited liability incorporated in the People’s Republic of China with its principal place of |
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| September 21, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 21, 2012 |
EXHIBIT 99.1 TranS1 Inc. Announces Appointment of Stephanie M. Fitts, Ph.D. as Vice President of Regulatory, Quality and Compliance WILMINGTON, N.C., Sept. 17, 2012 (GLOBE NEWSWIRE) - TranS1 Inc. (Nasdaq:TSON), a medical device company focused on designing, developing and marketing products to treat degenerative conditions of the spine affecting the lower lumbar region, is pleased to announce the |
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| August 15, 2012 |
TranS1 Inc. Reports Operating Results for the Second Quarter of 2012, Issues Third Quarter 2012 Guidance - Second quarter revenues were $3.5 million - - Net loss per share was $0.23 for the quarter - WILMINGTON, N.C., Aug. 9, 2012 (GLOBE NEWSWIRE) - TranS1 Inc. (Nasdaq:TSON), a medical device company focused on designing, developing and marketing products to treat degenerative conditions of the sp |
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| August 15, 2012 |
PARTICIPANTS Corporate Participants Mark R. Klausner – Managing Partner, Westwicke Partners, LLC Ken Reali – President, Chief Executive Officer & Director Joseph P. Slattery – CFO, Executive VP & Head-Investor Relations Other Participants Matt S. Miksic – Analyst, Piper Jaffray, Inc. Mark Landy – Analyst, Summer Street Research Partners Joe Munda – Analyst, Sidoti & Co. LLC MANAGEMENT DISCUSSION S |
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| August 15, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 8, 2012 |
Submission of Matters to a Vote of Security Holders - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File |
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| May 11, 2012 |
Conference Call Transcript Exhibit 99.2 PARTICIPANTS Corporate Participants Mark R. Klausner – Managing Partner, Westwicke Partners, LLC Ken Reali – President and Chief Executive Officer Joseph P. Slattery – Chief Financial Officer & Executive Vice President Other Participants Matt S. Miksic – Analyst, Piper Jaffray, Inc. Greg P. Chodaczek – Analyst, First Analysis Securities Corp. Yumi Odama – An |
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| May 11, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File N |
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| May 11, 2012 |
Press Release Exhibit 99.1 TranS1 Inc. Reports Operating Results for the First Quarter of 2012, Issues Second Quarter 2012 Guidance - First quarter revenues were $3.8 million - - Net loss per share was $0.21 for the quarter - WILMINGTON, NC – (GLOBE NEWSWIRE) – May 8, 2012 – TranS1 Inc. (NASDAQ:TSON), a medical device company focused on designing, developing and marketing products to treat degener |
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| May 9, 2012 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File N |
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| April 30, 2012 |
DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 5, 2012 |
TranS1 Appoints Jeffrey Fischgrund, M.D. to Board of Directors Press Release Exhibit 99.1 TranS1 Appoints Jeffrey Fischgrund, M.D. to Board of Directors WILMINGTON, N.C., April, 5, 2012 — TranS1 Inc. (Nasdaq:TSON), a medical device company focused on designing, developing and marketing spine products to treat degenerative conditions of the spine affecting the lower lumbar region, announced today that it has appointed Jeffrey Fischgrund, M.D. to serve on its B |
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| April 5, 2012 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File |
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| March 13, 2012 |
EX-99.1 2 d314385dex991.htm PRESS RELEASE Exhibit 99.1 TranS1 Inc. Reports Operating Results for the Fourth Quarter of 2011, Issues First Quarter 2012 Guidance - Fourth quarter revenues were $4.0 million - - 310 TranS1 procedures performed globally in the quarter - - Launch of VEO™ Lateral Access and Interbody Fusion System - - Net loss per share was $0.18 for the quarter - - Category I CPT code a |
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| March 13, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File |
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| March 13, 2012 |
Conference call transcript Exhibit 99.2 PARTICIPANTS Corporate Participants Mark Klausner – Westwicke Partners, Investor Relations Kenneth Reali – President and Chief Executive Officer Joseph P. Slattery – Chief Financial Officer & Executive Vice President Other Participants Matt S. Miksic – Analyst, Piper Jaffray, Inc. Bill J. Plovanic – Analyst, Canaccord Genuity, Inc. Greg P. Chodaczek – Analys |
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| March 5, 2012 |
Category I Code Approved for TranS1’s AxiaLIF Pre-Sacral Interbody Fusion Press release Exhibit 99.1 Category I Code Approved for TranS1’s AxiaLIF Pre-Sacral Interbody Fusion WILMINGTON, N.C., March 5, 2012 (GLOBE NEWSWIRE) — TranS1 Inc. (Nasdaq:TSON), a medical device company focused on designing, developing and marketing minimally invasive spine products to treat degenerative conditions of the spine affecting the lower lumbar region, announced today that the American |
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| March 5, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File |
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| February 14, 2012 |
SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 2)* TranS1 Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89385X 105 (CUSIP Number) December 31, 2011 (Date of Event |
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| January 27, 2012 |
Regulation FD Disclosure - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission F |
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| January 19, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2012 TRANS1 INC. (Exact name of registrant as specified in its charter) Delaware 001-33744 33-0909022 (State or other jurisdiction of incorporation) (Commission File Numbe |
