Nb Holdings Corp SEC Form 4 Filed June 16, 2004: Statement of changes in beneficial ownership of sec... Last Updated December 8, 2020 at 11:25 AM EST
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Submission Parts

Sequence Document Type File Name Description
1 SEC Form PRIMARY DOCUMENT
2 SEC Form INFORMATION REGARDING JOINT FILERS

PRIMARY DOCUMENT

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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
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*
BANK OF AMERICA VENTURES

(Last) (First) (Middle)

(Street)

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ACUSPHERE INC [ ACUS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
06/10/2004
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 1,314,164 D
Common Stock 146,016 I See Footnote 1.(1)
Common Stock 452,414 I See Footnote 2.(2)
Common Stock 6,521 I See Footnote 3.(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Options (Right to Buy) $6.14 06/10/2004 A 25,000 07/10/2004(4) 06/10/2014 Common Stock 25,000 $6.14 25,000 I See Footnote 5.(5)
1. Name and Address of Reporting Person*
BANK OF AMERICA VENTURES

(Last) (First) (Middle)

(Street)

(City) (State) (Zip)
1. Name and Address of Reporting Person*
BANK OF AMERICA NA

(Last) (First) (Middle)
110 N TYRONE

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)
1. Name and Address of Reporting Person*
NB HOLDINGS CORP

(Last) (First) (Middle)
100 NORTH TRYON STREET

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)
1. Name and Address of Reporting Person*
BANK OF AMERICA CORP /DE/

(Last) (First) (Middle)
BANK OF AMERICA CORPORATE CENTER
100 N TRYON ST

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)
Explanation of Responses:
1. Held by BA Venture Partners II, with which the Reporting Persons have an employment releationship. The Reporting Persons disclaim beneficial ownership of such securities.
2. Held by BancBoston Ventures, Inc. The Reporting Persons disclaim beneficial ownership of such securities.
3. Held by Bank of America Capital Corporation. The Reporting Persons disclaim beneficial ownership of such securities.
4. The options vest over four years on a monthly basis beginning on July 10, 2004.
5. The option was granted to Kate Mitchell, who is President and Managing Director of Bank of America Ventures. Pursuant to the policies of BA Capital Company, L.P and its affiliates, Mr. Sheridan is deemed to hold the reported option for the benefit of BA Capital Company, L.P and must exercise the option solely upon the direction of BA Capital Company, L.P. BA Capital Company, L.P may be deemed the indirect beneficial owner of the option. BA Capital Company, L.P disclaims beneficial ownership of the option except to the extent of its pecuniary interest therein.
By: Kate Mitchell, President and Managing Director, Bank of America Ventures 06/15/2004
By: Charles F. Bowman, Senior Vice President, BANK OF AMERICA, N.A. 06/15/2004
By: Charles F. Bowman, Senior Vice President, NB HOLDINGS CORPORATION 06/15/2004
By: Charles F. Bowman, Senior Vice President, BANK OF AMERICA CORPORATION 06/15/2004
** 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.

INFORMATION REGARDING JOINT FILERS

(Page 3 of 5)

EXHIBIT 99.1

Information Regarding Joint Filers

Designated Filer of Form 3: Bank of America Ventures

Item 2. Date of Event Requiring Statement: June 10, 2004

Item 4. Issuer Name and Ticker Symbol: Acusphere, Inc. (ACUS)

 

Designated Filer:

Ownership Form

Nature of Indirect

Beneficial Ownership

Bank of America Ventures

950 Tower Lane, Suite 700

Foster City, CA 94404

 

 

Direct

 

Joint Filers:

   

Bank of America Corporation

100 North Tryon Street

Bank of America Plaza

Charlotte, NC 28255

Indirect

Indirect 100% Owner of Reported Shares, as 100% Parent of Bank of America, N.A.

Bank of America, N.A.

101 South Tryon Street

Bank of America Plaza

Charlotte, NC 28255

 

Indirect

Indirect 100% Owner of Reported Shares, as 100% Parent of Bank of America Ventures

NB Holdings Corporation

100 North Tryon Street

Bank of America Plaza

Charlotte, NC 28255

Indirect

 

SIGNATURES

BANK OF AMERICA CORPORATION

NB HOLDINGS CORPORATION

BANK OF AMERICA, N.A.

 

 

By: /s/ Charles F Bowman Date: June 15, 2004

Charles F. Bowman

Senior Vice President

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