Baxano Surgical (BAXSQ)

HEALTH CARE: HEALTH CARE SUPPLIES
SIC: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS
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301 GOVERNMENT CENTER DRIVE WILMINGTON, NC 28403

TranS1, Inc., a medical device company, focuses on designing, developing, and marketing products that implement its proprietary surgical approach to treat degenerative disc disease. The company offers TranS1 approach to allow spine surgeons to perform fusion and motion preserving surgeries in the lower lumbar region of the spine. Its products include AxiaLIF implant, a threaded titanium rod that enables one-level L5/S1 fusions and two-level L4/L5/S1 fusions; and AxiaLIF 360 implants, which consists of 3D Axial Rod plus its titanium facet screws for supplemental posterior fixation. The company is also developing two products that implement its TranS1 approach, including percutaneous nucleus replacement and partial disc replacement devices. It markets and sells its products through a combination of direct sales representatives and independent sales agencies in the United States.

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Q1 2021 All 13F Filers Prior Change Hedge Funds 1 Prior Change
No data found for this quarter.
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding BAXSQ (via 13F filings)

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Mutual Funds Holding BAXSQ BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

REALI KENNETH MICHAEL PRESIDENT AND CEO

  • Officer
  • Director
141,128 2014-08-15 0

SHAPIRO JAMES M

  • Director
0 2014-04-17 0

LAVIOLETTE PAUL A

  • Director
0 2014-04-17 0

SIMPSON DAVID J

  • Director
0 2014-04-17 0

FISCHGRUND JEFFREY

  • Director
0 2014-04-17 0

STAUTBERG MARK

  • Director
0 2014-04-17 0

YOUNG RODERICK A

  • Director
0 2014-04-17 0

HIRSCH RUSSELL C

  • Director
  • 10% Owner
0 2014-04-17 0

PICKENS MATTHEW PLEASE SEE REMARKS

  • Officer
1,733 2014-02-06 0

FEILER FREDERIC CHARLES JR VICE PRESIDENT OF MARKETING

  • Officer
57,094 2014-01-02 0

AINSWORTH STEPHEN D VP OF RESEARCH AND DEVELOPMENT

  • Officer
75,084 2014-01-02 0

RAMCHANDANI MUKESH VP BUSINESS DEVELOPMENT

  • Officer
61,204 2014-01-02 0

FITTS STEPHANIE M VP-REGULATORY, QLTY & CONTROL

  • Officer
62,500 2014-01-02 0

WELSH GREG VICE PRESIDENT OF OPERATIONS

  • Officer
53,534 2014-01-02 0

SHANNON TIMOTHY M INTERIM CFO

  • Officer
71,000 2014-01-02 0

SLUSSER GREG D VP OF COMMERCIAL OPERATIONS

  • Officer
68,750 2014-01-02 0

SLATTERY JOSEPH P EXECUTIVE V.P. AND CFO

  • Officer
229,571 2013-05-31 0

PROSPECT MANAGEMENT CO. III, L.L.C.

PROSPECT VENTURE PARTNERS III L P

SCHNELL DAVID

  • 10% Owner
5,340,616 2013-05-31 0

MONTGOMERY BOBBY DWAYNE VICE PRESIDENT, SALES

  • Officer
0 2013-03-01 0

RANDALL RICHARD D

  • Director
0 2012-06-05 0

CARUSI MICHAEL A

  • Director
0 2012-06-05 0

OSGOOD JONATHAN W.

  • Director
0 2012-06-05 0

ATV ASSOCIATES VII, L.L.C.

ADVANCED TECHNOLOGY VENTURES VII LP

ADVANCED TECHNOLOGY VENTURES VII(B), L.P.

ADVANCED TECHNOLOGY VENTURES VII(C), L.P.

ATV ENTREPRENEURS VII, L.P.

ATV ALLIANCE 2002, L.P.

ATV ALLIANCE ASSOCIATES, L.L.C.

  • 10% Owner
3,087,906 2011-09-21 0

DELPHI MANAGEMENT PARTNERS VIII, L.L.C.

DELPHI BIOINVESTMENTS VIII LP

DELPHI VENTURES VIII LP

DELPHI MANAGEMENT PARTNERS VI LLC

DELPHI VENTURES VI LP

DELPHI BIOINVESTMENTS VI LP

  • 10% Owner
4,692,695 2011-09-21 0

DANN MITCHELL

  • Director
0 2011-06-02 0

MARTIN ROBERT S. VP, INTERNATIONAL SALES

  • Officer
0 2011-02-22 0

DELPHI MANAGEMENT PARTNERS VIII, L.L.C.

DELPHI BIOINVESTMENTS VIII LP

DELPHI VENTURES VIII LP

  • 10% Owner
1,641,200 2009-10-16 0

DELPHI MANAGEMENT PARTNERS VI LLC

DELPHI VENTURES VI LP

DELPHI BIOINVESTMENTS VI LP

DOUGLASS DAVID L

BOCHNOWSKI JAMES J

ROEDER DOUGLAS A

PAKIANATHAN DEEPIKA

MARONEY JOHN F

  • 10% Owner
2,258,634 2009-10-16 0

SIMMONS RICARDO J VP, MARKETING AND SALES

  • Officer
0 2008-04-02 0

LUETKEMEYER MICHAEL L. CHIEF FINANCIAL OFFICER

  • Officer
0 2008-04-02 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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