SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
780 THIRD AVENUE |
37TH FLOOR |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NeuroMetrix, Inc.
[ NURO ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
Possible Members of 10% Group
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3. Date of Earliest Transaction
(Month/Day/Year) 09/15/2010
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock
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09/15/2010 |
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S |
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22,371 |
D |
$0.6
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1,190,280 |
I |
Through Deerfield Special Situations Fund, L.P.
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Common Stock
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09/15/2010 |
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S |
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40,129 |
D |
$0.6
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2,135,006 |
I |
Through Deerfield Special Situations Fund International Limited
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Common Stock
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09/16/2010 |
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S |
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143,179 |
D |
$0.59
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1,047,101 |
I |
Through Deerfield Special Situations Fund, L.P.
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Common Stock
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09/16/2010 |
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S |
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256,821 |
D |
$0.59
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1,878,185 |
I |
Through Deerfield Special Situations Fund International Limited
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Common Stock
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09/16/2010 |
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S |
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107,384 |
D |
$0.58
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939,717 |
I |
Through Deerfield Special Situations Fund, L.P.
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Common Stock
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09/16/2010 |
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S |
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192,616 |
D |
$0.58
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1,685,569 |
I |
Through Deerfield Special Situations Fund International Limited
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
780 THIRD AVENUE |
37TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
780 THIRD AVENUE |
37TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
780 3RD AVENUE |
37TH FLOOR |
(Street)
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1. Name and Address of Reporting Person*
780 THIRD AVENUE, 37TH FLOOR |
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(Street)
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1. Name and Address of Reporting Person*
C/O HEMISPHERE MANAGEMENT (B.V.I.) |
COLUMBUS CENTRE, P.O. BOX 3460 |
(Street)
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Explanation of Responses: |
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/s/ Darren Levine |
09/17/2010 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Unassociated Document
Joint Filer Information
Names:
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Deerfield Capital L.P., Deerfield Special Situations Fund, L.P., Deerfield Management Company, L.P., Deerfield Special Situations Fund International Limited
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Address:
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Deerfield Capital, L.P., Deerfield Special Situations Fund, L.P. and Deerfield Management Company, L.P.:
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780 Third Avenue, 37th Floor
New York, NY 10017
Deerfield Special Situations Fund International Limited:
c/o Citi Hedge Fund Services (B.V.I.) Ltd.
Bison Court, P.O. Box 3460
Road Town, Tortola, D8,
British Virgin Islands
Designated Filer:
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James E. Flynn
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Issuer and Ticker Symbol:
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Date of Event Requiring Statement:
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The undersigned, Deerfield Capital, L.P., Deerfield Special Situations Fund, L.P., Deerfield Management Company, L.P. and Deerfield Special Situations Fund International Limited are jointly filing the attached Statement of Changes in Beneficial Ownership on Form 4 with James E. Flynn with respect to the beneficial ownership of securities of NeuroMetrix, Inc.
Signatures:
DEERFIELD CAPITAL, L.P.
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By:
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J.E. Flynn Capital LLC, General Partner
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By:
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Darren Levine, Attorney-in-Fact
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DEERFIELD SPECIAL SITUATIONS FUND, L.P.
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By:
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Deerfield Capital, L.P., General Partner
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By:
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J.E. Flynn Capital LLC, General Partner
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By:
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Darren Levine, Attorney-in-Fact
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DEERFIELD MANAGEMENT COMPANY, L.P.
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By:
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Flynn Management LLC, General Partner
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By:
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Darren Levine, Attorney-in-Fact
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DEERFIELD SPECIAL SITUATIONS FUND INTERNATIONAL LIMITED
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By:
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/s/ Darren Levine
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Darren Levine, Attorney-in-Fact
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