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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 TriVascular Technologies, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| April 8, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* TriVascular Technologies, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 89685A102 (CUSIP Number) Louis S. Citron, Esq. New Enterprise Associates 1954 Greenspring Drive, Suite 600, Timonium, MD 21093 (410) 842-4000 (Nam |
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| February 17, 2016 |
TriVascular Technologies 15-12B 15-12B United States SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File No. 001-36419 TRIVASCULAR TECHNOLOGIES, INC. (Exact name of registrant as sp |
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| February 16, 2016 |
TRIV / TriVascular Technologies, Inc. / Flynn James E Passive Investment SC 13G/A 1 e614608sc13ga-trivascular.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2) * TriVascular Technologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89685A102 (CUSIP Numbe |
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| February 16, 2016 |
TRIV / TriVascular Technologies, Inc. / Redmile Group, LLC Passive Investment trivas13ga2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* TriVascular Technologies, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 89685A102 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) ý Rule 13d-1(b) ¨ Ru |
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| February 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* TriVascular Technologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89685A102 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| February 10, 2016 |
TRIV / TriVascular Technologies, Inc. / DELPHI VENTURES VIII LP - 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) TriVascular Technologies, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 89685A102 (CUSIP Number) Matthew Potter c/o Delphi Ventures 160 Bovet Rd, Suite 408 |
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| February 5, 2016 |
RW February 5, 2016 VIA UPS AND EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 5, 2016 |
RW February 5, 2016 VIA UPS AND EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 5, 2016 |
TriVascular Technologies S-8 POS S-8 POS Registration No. 333-204565 Registration No. 333-195490 As filed with the Securities and Exchange Commission on February 5, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-204565 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-195490 FORM S-8 REGISTRATION STATEME |
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| February 5, 2016 |
TriVascular Technologies S-8 POS S-8 POS Registration No. 333-204565 Registration No. 333-195490 As filed with the Securities and Exchange Commission on February 5, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-204565 Post-Effective Amendment No. 1 to Form S-8 Registration Statement No. 333-195490 FORM S-8 REGISTRATION STATEME |
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| February 3, 2016 |
8-K 1 d126390d8k.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): February 1, 2016 TRIVASCULAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-36419 87-0807313 (State or other jurisdict |
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| February 3, 2016 |
EX-3.2 Exhibit 3.2 BYLAWS OF TETON MERGER SUB, INC., a Delaware corporation October 23, 2015 ARTICLE I OFFICES 3 Section 1. Registered Office 3 Section 2. Other Offices 3 Section 3. Books and Records 3 ARTICLE II MEETINGS OF STOCKHOLDERS 3 Section 1. Place of Meetings 3 Section 2. Annual Meetings 3 Section 3. Special Meetings 4 Section 4. Business Transacted at Special Meeting 4 Section 5. Notice |
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| February 3, 2016 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TRIVASCULAR TECHNOLOGIES, INC. ARTICLE I EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRIVASCULAR TECHNOLOGIES, INC. ARTICLE I The name of the corporation is TriVascular Technologies, Inc. ARTICLE II The address of the corporation?s registered office in the State of Delaware is 2711 Centerville Road, Suite 400, in the City of Wilmington, County of New Castle, Delaware 19808. The name of its registered agent at |
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| February 3, 2016 |
EX-99.1 Exhibit 99.1 Endologix, Inc. and TriVascular Technologies, Inc. Complete Merger Endologix Treats 5,000 AAA Patients with Nellix? Endovascular Aneurysm Sealing System IRVINE, Calif., February 3, 2016 ? Endologix, Inc. (Nasdaq: ELGX), developer and marketer of innovative treatments for aortic disorders, announced today that it has successfully completed the previously announced merger with T |
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| January 26, 2016 |
TriVascular Technologies DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) 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 permitt |
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| January 12, 2016 |
425 Combining innovation leaders to revolutionize aortic treatments January 2016 Filed by Endologix, Inc. |
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| January 8, 2016 |
TriVascular Technologies DEFM14A DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 20, 2015 |
425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 |
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| November 18, 2015 |
425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 Endologix, Inc. and TriVascular Technologies, Inc. Announce Early Termination of Hart-Scott-Rodino Waiting Period in Connection with Proposed Merger IRVINE, C |
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| November 18, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 Endologix, Inc. and TriVascular Technologies, Inc. Announce Early Termination of Hart-Scott-Rodino Waiting Period in Connection with Proposed |
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| November 9, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 TriVascular Technologies, Inc. Reports Third Quarter Financial Results Santa Rosa, Calif., November 9, 2015 ? TriVascular Technologies, Inc. ( |
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| November 9, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition triv-8k20151103.htm 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 9, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction o |
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| November 9, 2015 |
TriVascular Technologies 10-Q (Quarterly Report) triv-10q20150930.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 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 Numb |
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| November 9, 2015 |
TriVascular Technologies, Inc. Reports Third Quarter Financial Results triv-ex9916.htm Exhibit 99.1 TriVascular Technologies, Inc. Reports Third Quarter Financial Results Santa Rosa, Calif., November 9, 2015 ? TriVascular Technologies, Inc. (NASDAQ:TRIV), manufacturer of the Ovation? Abdominal Stent Graft platform, today reported financial results for the third quarter ended September 30, 2015. Recent Accomplishments: ? Third quarter revenue of $9.5 million, up 20.0% |
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| November 5, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* TriVascular Technologies, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 89685A102 (CUSIP Number) Louis S. Citron, Esq. New Enterprise Associates 1954 Greenspring Drive, Suite 600 Timonium, MD 21093 (410) 842-4000 (Name |
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| November 4, 2015 |
Endologix FORM 425 (Prospectus) Form 425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 COMPANY CONTACT: INVESTOR CONTACTS: Endologix, Inc. The Ruth Group John McDermott, CEO Vaseem Mahboob, CFO Nick Laudico (646) 536-7030 Zack Kubow (646) 5 |
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| October 28, 2015 |
Endologix FORM 425 (Prospectus) Form 425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 October 27, 2015 On behalf of our entire management team, we are excited about the merger with TriVascular and we look forward to welcoming you to our fa |
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| October 28, 2015 |
425 1 d79542d425.htm 425 Combining innovation leaders to revolutionize aortic treatments Endologix Third Quarter 2015 Results and TriVascular Merger October 26, 2015 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36 |
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| October 28, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 The following is a letter being provided to TriVascular?s suppliers October 28, 2015 We are pleased to announce that Endologix? and TriVascula |
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| October 27, 2015 |
425 Combining innovation leaders to revolutionize aortic treatments October 26, 2015 Filed by Endologix, Inc. |
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| October 27, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 The following is a series of questions and answers being provided to TriVascular employees QUESTIONS AND ANSWERS ABOUT ANNOUNCED MERGER AGREEM |
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| October 27, 2015 |
425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 Endologix and TriVascular Merger ? FAQs ALL EMPLOYEES General / Why? Why are we doing this right now? While the timing was not ideal, this was a unique opport |
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| October 27, 2015 |
TriVascular Technologies 425 (Prospectus) Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 The following is a series of questions and answers being provided to Trivasculars investors Investor Q&A Can you provide an overview of the trans |
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| October 27, 2015 |
425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 October 26, 2015 Customer Letter We are pleased to announce that Endologix? and TriVascular? have agreed to a merger and expect to become a single company foc |
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| October 27, 2015 |
TriVascular Technologies 425 (Prospectus) Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 The following are communication guidelines being provided to TriVascular employees October 26, 2015 Protocol for Contact between TriVascular and E |
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| October 27, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 The following is a letter being provided to TriVascular?s distributors October 26, 2015 We are pleased to announce that Endologix? and TriVasc |
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| October 27, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 TriVascular Employee Presentation TriVascular Employee Presentation All Employee Meeting October 26, 2015 Confidential Today?s announcement Bo |
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| October 27, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 The following is a letter being provided to TriVascular?s customers October 26, 2015 We are pleased to announce that Endologix? and TriVascula |
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| October 27, 2015 |
425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 Protocol for Contact between Endologix and TriVascular Prior to Completion of Merger While we look forward to TriVascular joining Endologix, we need to rememb |
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| October 27, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 Form of Cover Emails to Customer Letter Dear Clinical Partners, We deeply appreciate the confidence you have placed in TriVascular in treating |
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| October 27, 2015 |
Endologix FORM 425 (Prospectus) Form 425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 October 26, 2015 We are pleased to announce that Endologix? and TriVascular? have agreed to a merger and expect to become a single company focused on aor |
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| October 27, 2015 |
Endologix FORM 425 (Prospectus) Form 425 Combining innovation leaders to revolutionize aortic treatments October 26, 2015 Filed by Endologix, Inc. |
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| October 26, 2015 |
EX-2.1 Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and among ENDOLOGIX, INC., TETON MERGER SUB, INC., and TRIVASCULAR TECHNOLOGIES, INC. Dated as of October 26, 2015 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Merger 3 Section 1.5 Organizational Documents of the Surviving Corp |
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| October 26, 2015 |
425 Filed by Endologix, Inc. Pursuant to Rule 425 Under the Securities Act of 1933 and deemed filed pursuant to Rule 14d-2 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 OCTOBER 26, 2015 Combining innovation leaders to revolutionize aortic treatments Endologix Third Quarter 2015 Results and TriVascular Merger Safe Harbor Endolo |
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| October 26, 2015 |
Exhibit 99.4 TRIVASCULAR TECHNOLOGIES, INC. MANAGEMENT DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS FOR THE YEARS ENDED DECEMBER 31, 2014, 2013 AND 2012 AND FOR THE SIX MONTHS ENDED JUNE 30, 2015 AND 2014 You should read the following discussion and analysis together with our financial statements and related notes included elsewhere in this Current Report on Form 8-K. T |
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| October 26, 2015 |
Exhibit 99.3 UNAUDITED CONSOLIDATED FINANCIAL STATEMENTS OF TRIVASCULAR TECHNOLOGIES, INC. AS OF JUNE 30, 2015 AND 2014 AND FOR THE SIX MONTHS ENDED JUNE 30, 2015 AND 2014 TRIVASCULAR TECHNOLOGIES, INC. Consolidated Balance Sheets (unaudited) (in thousands, except par value) June 30, 2015 December 31, 2014 1 Assets Current assets Cash and cash equivalents $ 21,966 $ 32,896 Short-term investments 3 |
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| October 26, 2015 |
TriVascular Technologies FORM 8-K (Prospectus) 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): October 26, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorpora |
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| October 26, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 TriVascular Technologies, Inc. Reports Preliminary Third Quarter Financial Results Santa Rosa, Calif., October 26, 2015 ? TriVascular Technolo |
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| October 26, 2015 |
EX-4.1 Exhibit 4.1 VOTING AGREEMENT This VOTING AGREEMENT (this ?Agreement?), dated as of October 26, 2015, is entered into by and among Endologix, Inc. a Delaware corporation (?Parent?), Teton Merger Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of Parent (?Merger Sub?), and (the ?Stockholder?). All terms used but not otherwise defined in this Agreement shall have the res |
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| October 26, 2015 |
EX-99.2 Exhibit 99.2 AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF TRIVASCULAR TECHNOLOGIES, INC. AS OF DECEMBER 31, 2014 AND 2013 AND FOR THE YEARS ENDED DECEMBER 31, 2014, 2013 AND 2012 Report of Independent Registered Public Accounting Firm To the Board of Directors and Stockholders of TriVascular Technologies, Inc. In our opinion, the accompanying consolidated balance sheets and the related con |
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| October 26, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition triv-8k20151026.htm 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 26, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction o |
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| October 26, 2015 |
EX-99.1 Exhibit 99.1 Endologix, Inc. and TriVascular Technologies, Inc. Announce Merger to Create a Leading Cardiovascular Growth Company Focused on the Treatment of Aortic Disorders Combined Product Portfolio to Provide Clinicians with a Broad Range of Endovascular AAA Devices Will Expand U.S. and European Sales Organizations to Enhance Growth and Provide Excellent Clinical Support Endologix to H |
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| October 26, 2015 |
EX-4.1 Exhibit 4.1 VOTING AGREEMENT This VOTING AGREEMENT (this ?Agreement?), dated as of October 26, 2015, is entered into by and among Endologix, Inc. a Delaware corporation (?Parent?), Teton Merger Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of Parent (?Merger Sub?), and (the ?Stockholder?). All terms used but not otherwise defined in this Agreement shall have the res |
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| October 26, 2015 |
EX-4.1 Exhibit 4.1 VOTING AGREEMENT This VOTING AGREEMENT (this “Agreement”), dated as of October 26, 2015, is entered into by and among Endologix, Inc. a Delaware corporation (“Parent”), Teton Merger Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of Parent (“Merger Sub”), and (the “Stockholder”). All terms used but not otherwise defined in this Agreement shall have the res |
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| October 26, 2015 |
425 1 d36314d8k.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): October 26, 2015 ENDOLOGIX, INC. (Exact name of registrant as specified in its charter) Delaware 000-28440 68-0328265 (State or other jurisdiction of incorpora |
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| October 26, 2015 |
TriVascular Technologies, Inc. Reports Preliminary Third Quarter Financial Results triv-ex9916.htm Exhibit 99.1 TriVascular Technologies, Inc. Reports Preliminary Third Quarter Financial Results Santa Rosa, Calif., October 26, 2015 ? TriVascular Technologies, Inc. (NASDAQ:TRIV), manufacturer of the Ovation? Abdominal Stent Graft platform, today reported preliminary unaudited financial results for the third quarter ended September 30, 2015. Preliminary revenue for the third quart |
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| October 26, 2015 |
EX-99.1 Exhibit 99.1 Endologix, Inc. and TriVascular Technologies, Inc. Announce Merger to Create a Leading Cardiovascular Growth Company Focused on the Treatment of Aortic Disorders Combined Product Portfolio to Provide Clinicians with a Broad Range of Endovascular AAA Devices Will Expand U.S. and European Sales Organizations to Enhance Growth and Provide Excellent Clinical Support Endologix to H |
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| October 26, 2015 |
TriVascular Technologies 425 (Prospectus) 425 Filed by: TriVascular Technologies, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: TriVascular Technologies, Inc. Commission File No.: 001-36419 The following is a letter being provided to TriVascular?s employees October 26, 2015 We are pleased to announce that Endologix? and TriVascula |
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| October 26, 2015 |
EX-2.1 Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and among ENDOLOGIX, INC., TETON MERGER SUB, INC., and TRIVASCULAR TECHNOLOGIES, INC. Dated as of October 26, 2015 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Merger 3 Section 1.5 Organizational Documents of the Surviving Corp |
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| October 26, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 d42288d8k.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): October 26, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-36419 87-0807313 (State or other juris |
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| October 26, 2015 |
EX-2.1 Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER by and among ENDOLOGIX, INC., TETON MERGER SUB, INC., and TRIVASCULAR TECHNOLOGIES, INC. Dated as of October 26, 2015 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Merger 3 Section 1.5 Organizational Documents of the Surviving Corp |
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| October 26, 2015 |
EX-99.1 Exhibit 99.1 Endologix, Inc. and TriVascular Technologies, Inc. Announce Merger to Create a Leading Cardiovascular Growth Company Focused on the Treatment of Aortic Disorders Combined Product Portfolio to Provide Clinicians with a Broad Range of Endovascular AAA Devices Will Expand U.S. and European Sales Organizations to Enhance Growth and Provide Excellent Clinical Support Endologix to H |
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| October 26, 2015 |
Exhibit 99.5 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS OF ENDOLOGIX, INC. AS OF JUNE 30, 2015 AND FOR THE YEAR ENDED DECEMBER 31, 2014 AND FOR THE SIX MONTHS ENDED JUNE 30, 2015 On October 26, 2015, Endologix, Inc., (?Endologix?) entered into an agreement and plan of merger with TriVascular Technologies, Inc. (?TriVascular?). Under the terms of the agreement, Endologix agreed to |
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| September 25, 2015 |
1,250,000 Shares of Common Stock Table of Contents Filed pursuant to Rule 424(b)(3) Registration No. 333-206854 1,250,000 Shares of Common Stock PROSPECTUS TRIVASCULAR TECHNOLOGIES, INC. This prospectus relates to the sale, transfer or other disposition of up to 1,250,000 shares of common stock of TriVascular Technologies, Inc., $0.01 par value per share, that some of our stockholders or their transferees may dispose of from time |
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| September 21, 2015 |
CORRESP September 21, 2015 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Amanda Ravitz Re: TriVascular Technologies, Inc. Registration Statement on Form S-3 File No. 333-206854 Request for Acceleration Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, TriVascular T |
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| September 10, 2015 |
S-3 Table of Contents As filed with the Securities and Exchange Commission on September 10, 2015 Registration No. |
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| August 5, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 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: 001-36419 TRIVASCULAR TECHNOLOGIES, INC. |
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| August 4, 2015 |
EX-10.1 Exhibit 10.1 Execution Version SECOND AMENDED AND RESTATED TERM LOAN AGREEMENT dated as of August 3, 2015 between TRIVASCULAR TECHNOLOGIES, INC. and TRIVASCULAR, INC. as Borrowers, The SUBSIDIARY GUARANTORS from Time to Time Party Hereto, and The LENDERS from Time to Time Party Hereto, as Lenders TABLE OF CONTENTS Page SECTION 1 DEFINITIONS 2 1.01 Certain Defined Terms 2 1.02 Accounting Te |
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| August 4, 2015 |
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 3, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporati |
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| August 4, 2015 |
TriVascular Technologies, Inc. Reports Second Quarter Financial Results triv-ex9916.htm Exhibit 99.1 TriVascular Technologies, Inc. Reports Second Quarter Financial Results Santa Rosa, Calif., August 4, 2015 ? TriVascular Technologies, Inc. (NASDAQ:TRIV), manufacturer of the Ovation Prime? Abdominal Stent Graft System, today reported financial results for the second quarter ended June 30, 2015. Recent Accomplishments: ? Second quarter revenue of $9.7 million, up 24.8% |
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| August 4, 2015 |
TriVascular Technologies 8-K (Current Report/Significant Event) triv-8k_20150630.htm 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 4, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of |
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| August 4, 2015 |
FORM OF REGISTRATION RIGHTS AGREEMENT EX-10.2 Exhibit 10.2 FORM OF REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), dated as of August , 2015, is by and among TriVascular Technologies, Inc., a Delaware corporation, (the ?Company?), and Capital Royalty Partners II L.P., Parallel Investment Opportunities Partners II L.P., Capital Royalty Partners II ? Parallel Fund ?A? L.P., Capital Royalty Partners I |
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| July 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TriVascular Technologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89685A102 (CUSIP Number) June 30, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th |
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| June 15, 2015 |
CORRESP June 15, 2015 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Amanda Ravitz Re: TriVascular Technologies, Inc. Registration Statement on Form S-3 File No. 333-204564 Request for Acceleration Ladies and Gentlemen: Pursuant to Rules 460 and 461 promulgated under the Securities Act of 1933, as amended, TriVascul |
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| May 29, 2015 |
Exhibit 12.1 Computation of Ratio of Earnings to Fixed Charges1 (Dollar amounts in thousands) Three Months Ended March 31, Year Ended December 31, 2015 2014 2013 2012 Earnings: Loss before income taxes $ (15,570 ) $ (57,061 ) $ (50,109 ) $ (43,137 ) Add back: Fixed Charges 1,874 7,652 6,386 4,306 Loss before fixed charges (13,696 ) (49,409 ) (43,723 ) (38,831 ) Fixed Charges: Interest Expense 1,87 |
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| May 29, 2015 |
As filed with the Securities and Exchange Commission on May 29, 2015 S-3 Table of Contents As filed with the Securities and Exchange Commission on May 29, 2015 Registration No. |
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| May 29, 2015 |
Form of Subordinated Note (FACE OF SECURITY) Exhibit 4.6 Form of Subordinated Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE |
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| May 29, 2015 |
EX-1.2 Exhibit 1.2 EXECUTION VERSION TRIVASCULAR TECHNOLOGIES, INC. Up to $25,000,000 of Shares of Common Stock (par value $0.01 per share) Controlled Equity OfferingSM Sales Agreement May 29, 2015 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Ladies and Gentlemen: TriVascular Technologies, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Ca |
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| May 29, 2015 |
Form of Senior Note (FACE OF SECURITY) Exhibit 4.5 Form of Senior Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE OF THE |
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| May 29, 2015 |
EX-4.4 Exhibit 4.4 TRIVASCULAR TECHNOLOGIES, INC. and Trustee INDENTURE Dated as of [ ] SUBORDINATED DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.0 |
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| May 29, 2015 |
S-8 As filed with the Securities and Exchange Commission on May 29, 2015 Registration No. |
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| May 29, 2015 |
TriVascular Technologies 8-K (Current Report/Significant Event) 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 29, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or organ |
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| May 29, 2015 |
EX-4.3 Exhibit 4.3 TRIVASCULAR TECHNOLOGIES, INC. and Trustee INDENTURE Dated as of [ ] SENIOR DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314( |
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| May 27, 2015 |
TriVascular Technologies 8-K (Current Report/Significant Event) 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 21, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or organ |
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| May 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 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: 001-36419 TRIVASCULAR TECHNOLOGIES, INC. |
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| May 5, 2015 |
TriVascular Technologies, Inc. Reports First Quarter Financial Results Exhibit 99.1 TriVascular Technologies, Inc. Reports First Quarter Financial Results Santa Rosa, Calif, May 5, 2015 ? TriVascular Technologies, Inc. (NASDAQ:TRIV), manufacturer of the Ovation Prime? Abdominal Stent Graft System, today reported financial results for the first quarter ended March 31, 2015. Recent Accomplishments: ? First quarter revenue of $8.0 million, up 14.1% over the first quarte |
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| May 5, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 5, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or organi |
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| April 14, 2015 |
TriVascular Technologies DEF 14A 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. ) Filed by the Registrant x 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) |
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| April 8, 2015 |
Exhibit 99.1 TriVascular Technologies, Inc. Announces Preliminary First Quarter Revenue Results Issues Revised Revenue Guidance for 2015 Santa Rosa, Calif., April 8, 2015 ? TriVascular Technologies, Inc. (NASDAQ: TRIV), manufacturer of the Ovation Prime? Abdominal Stent Graft System, today announced that based on preliminary unaudited financial results, it expects total revenue of approximately $8 |
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| April 8, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 triv-8k20150331.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 8, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdi |
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| March 9, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 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: 001-36419 TRIVASCULAR TECHNOLOGIES, INC. |
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| March 9, 2015 |
Exhibit 21.1 Subsidiaries Entity Jurisdiction of Organization TriVascular, Inc. California TriVascular Sales LLC Texas TriVascular Germany GmbH Germany TriVascular Switzerland Sarl Switzerland TriVascular Italia Sarl Italy TriVascular Canada, LLC Delaware |
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| March 4, 2015 |
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 2, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or orga |
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| March 4, 2015 |
Exhibit 99.1 Amended Definition of “Cause” under 2014 Equity Incentive Plan, equity awards outstanding thereunder and options outstanding under the 2008 Equity Incentive Plan. “Cause” means, with respect to any Participant, the occurrence of any one or more of the following: (i) a material breach by a Participant of his or her contractual obligations to the Company concerning his or her employment |
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| March 4, 2015 |
Exhibit 10.1 Form of CEO Restricted Stock Unit Grant Notice and Agreement TRIVASCULAR TECHNOLOGIES, INC. 2014 EQUITY INCENTIVE PLAN CEO RESTRICTED STOCK UNIT GRANT NOTICE TriVascular Technologies, Inc. (the “Company”), pursuant to its 2014 Equity Incentive Plan (the “Plan”), hereby awards to Participant a restricted stock unit award for the number of shares of the Company’s Common Stock (“Restrict |
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| March 3, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 3, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or orga |
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| March 3, 2015 |
TriVascular Technologies, Inc. Reports Fourth Quarter and Full Year 2014 Financial Results Exhibit 99.1 TriVascular Technologies, Inc. Reports Fourth Quarter and Full Year 2014 Financial Results Santa Rosa, CA, March 3, 2015 – TriVascular Technologies, Inc. (NASDAQ:TRIV), manufacturer of the Ovation Prime® Abdominal Stent Graft System, today reported financial results for the fourth quarter and year ended December 31, 2014. Recent Accomplishments: • Fourth quarter revenue of $9.1 millio |
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| February 24, 2015 |
TRIV / TriVascular Technologies, Inc. / Redmile Group, LLC - SC 13G/A Passive Investment trivas13ga1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* TriVascular Technologies, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 89685A102 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) ý Rule 13d-1(b) ¨ R |
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| February 18, 2015 |
OXFD / Oxford Immunotec Global PLC / Redmile Group, LLC - SC 13G/A Passive Investment oxfordimmuno13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Oxford Immunotec Global PLC (Name of Issuer) Common Stock, $.001 par value per share (Title of Class of Securities) G6855A103 (CUSIP Number) April 28, 2014 (Date of Event Which Requires Filing of this Statement) ý Rule 13d-1(b) ¨ Rule |
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| February 17, 2015 |
TRIV / TriVascular Technologies, Inc. / Flynn James E Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 5, 2015 |
EX-99.A 2 d868213dex99a.htm EX-A EXHIBIT A JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Trivascular Technologies, Inc. and further agree that this agreement be included |
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| February 5, 2015 |
TRIV / TriVascular Technologies, Inc. / MPM BioVentures IV QP LP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Trivascular Technologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89685A102 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to whic |
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| January 12, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 12, 2015 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or o |
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| January 12, 2015 |
Exhibit 99.1 TriVascular Technologies, Inc. Announces Preliminary Results for Fourth Quarter and Full Year 2014 and Provides 2015 Outlook Santa Rosa, CA, January 12, 2015 – TriVascular Technologies, Inc. (NASDAQ:TRIV), in anticipation of investor meetings during the week of January 12, is announcing preliminary unaudited financial results for the fourth quarter and full year 2014. Preliminary reve |
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| November 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 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: 001-36419 TRIVASCULAR TECHNOLOGIES, INC. |
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| November 10, 2014 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION AMENDED AND RESTATED TERM LOAN AGREEMENT dated as of November 4, 2014 between TRIVASCULAR TECHNOLOGIES, INC. and TRIVASCULAR, INC. as Borrowers, The SUBSIDIARY GUARANTORS from Time to Time Party Hereto, and The LENDERS from Time to Time Party Hereto, as Lenders TABLE OF CONTENTS Page SECTION 1 DEFINITIONS 1 1.01 Certain Defined Terms 1 1.02 Accounting Terms a |
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| November 10, 2014 |
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 4, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorpora |
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| November 10, 2014 |
FIRST AMENDMENT TO LOAN AGREEMENT EX-10.2 Exhibit 10.2 EXECUTION VERSION FIRST AMENDMENT TO LOAN AGREEMENT THIS FIRST AMENDMENT TO LOAN AGREEMENT (this “Amendment”), dated as of November 4, 2014, is by and among TriVascular Technologies, Inc., a Delaware corporation (“Holdings”), TriVascular, Inc., a California corporation (the “Company”, and together with Holdings, the “Borrowers”), Century Medical, Inc., a Japan corporation (the |
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| November 10, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 10, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or |
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| November 10, 2014 |
TriVascular Technologies, Inc. Reports Third Quarter 2014 Financial Results Exhibit 99.1 TriVascular Technologies, Inc. Reports Third Quarter 2014 Financial Results Santa Rosa, CA, November 10, 2014 – TriVascular Technologies, Inc. (NASDAQ:TRIV) today reported financial results for the three and nine months ended September 30, 2014. Recent Accomplishments: • Revenue of $7.9 million, up 43.1% over the third quarter of the prior year • Gross margin of 57.2%, an increase fro |
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| September 19, 2014 |
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 18, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorpo |
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| September 18, 2014 |
Financial Statements and Exhibits, Other Events 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 18, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorpo |
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| September 18, 2014 |
EX-99.1 Exhibit 99.1 TRIVASCULAR, INC. TO INITIATE VOLUNTARY FIELD SAFETY CORRECTIVE ACTION FOR CERTAIN OVATION PRIME® AORTIC STENT GRAFTS Santa Rosa, CA, September 18, 2014 - TriVascular Technologies, Inc. (NASDAQ: TRIV), today announces it will initiate a voluntary field safety corrective action related to certain of its 29 mm Ovation Prime aortic stent grafts, one of five aortic body sizes offe |
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| August 8, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) x 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: 001-36419 TRIVASCULAR TECHNOLOGIES, INC. |
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| August 6, 2014 |
TriVascular Technologies, Inc. Reports Second Quarter 2014 Financial Results Exhibit 99.1 TriVascular Technologies, Inc. Reports Second Quarter 2014 Financial Results Santa Rosa, CA, August 6, 2014 – TriVascular Technologies, Inc. (NASDAQ:TRIV) today reported financial results for the three and six months ended June 30, 2014. Recent Accomplishments: • Revenue of $7.8 million, up 61.6% over the second quarter of the prior year • Gross margin of 55.6%, an increase from 34.6% |
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| August 6, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 6, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation or org |
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| July 3, 2014 |
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 30, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporatio |
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| July 3, 2014 |
AMENDMENT NO. 1 TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.1 2 d752473dex101.htm EX-10.1 Exhibit 10.1 AMENDMENT NO. 1 TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amendment No. 1 to the Amended and Restated Employment Agreement (“Amendment”), effective as of the 30th day of June, 2014 (the “Effective Date”), is entered into by and between Christopher G. Chavez, an individual and resident of Texas (the “Executive”), TriVascular, Inc., a Californ |
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| May 15, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) 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: 001-36419 TRIVASCULAR TECHNOLOGIES, INC. |
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| May 14, 2014 |
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 14, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporation |
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| May 14, 2014 |
EX-99.1 Exhibit 99.1 TriVascular Technologies, Inc. Reports First Quarter 2014 Financial Results and Provides 2014 Full Year Outlook Santa Rosa, CA, May 14, 2014 – TriVascular Technologies, Inc. (NASDAQ:TRIV) today reported financial results for the three months ended March 31, 2014. Recent Accomplishments: • Revenue of $7.0 million, up 139% over the first quarter of the prior year • Gross margin |
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| May 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* TriVascular Technologies, Inc. (Name of Issuer) Common Stock, $0.01 par value per share (Title of Class of Securities) 89685A102 (CUSIP Number) April 22, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| April 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* TriVascular Technologies, Inc. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 89685A102 (CUSIP Number) Louis S. Citron, Esq. New Enterprise Associates 1954 Greenspring Drive, Suite 600 Timonium, MD 21093 (410) 842-4000 (Name, |
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| April 25, 2014 |
FORM S-8 As filed with the Securities and Exchange Commission on April 25, 2014 Registration No. |
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| April 24, 2014 |
TRIV / TriVascular Technologies, Inc. / DELPHI VENTURES VIII LP - SC13D Activist Investment CUSIP NO. 89685A102 13D Page 1 of 17 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) TriVascular Technologies, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 89685A102 (CUSIP Number) Matthew Potter c/o Del |
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| April 23, 2014 |
EX-3.2 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF TRIVASCULAR TECHNOLOGIES, INC. (effective as of the closing of the Corporation’s initial public offering) 1 TABLE OF CONTENTS Page ARTICLE I — CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II — MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES 2 2.5 |
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| April 23, 2014 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRIVASCULAR TECHNOLOGIES, INC. EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRIVASCULAR TECHNOLOGIES, INC. TriVascular Technologies, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: FIRST: That the Corporation was originally incorporated in Delaware under the name TV2, Inc., and the date of its filing of its original C |
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| April 23, 2014 |
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 22, 2014 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36419 87-0807313 (State or other jurisdiction of incorporati |
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| April 22, 2014 |
TRIV / TriVascular Technologies, Inc. / Flynn James E Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| April 17, 2014 |
Filed Pursuant to Rule 424(b)(4) Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. |
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| April 16, 2014 |
TriVascular Technologies, Inc. Free Writing Prospectus FWP 1 d638780dfwp.htm FREE WRITING PROSPECTUS Issuer Free Writing Prospectus Dated April 15, 2014 (Supplementing Preliminary Prospectus Dated April 3, 2014) Filed Pursuant to Rule 433 of the Securities Act of 1933 Registration Statement No. 333-194466 TriVascular Technologies, Inc. Free Writing Prospectus This free writing prospectus relates to the initial public offering of common stock of TriVas |
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| April 11, 2014 |
CORRESP 1 filename1.htm April 11, 2014 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Amanda Ravitz Re: TriVascular Technologies, Inc. Registration Statement on Form S-1 File No. 333-194466 Request for Acceleration Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, T |
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| April 11, 2014 |
Underwriter's Acceleration Request Letter April 11, 2014 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 11, 2014 |
SEE REVERSE SIDE FOR CERTAIN DEFINITIONS CUSIP 89685A 10 2 THIS CERTIFIES THAT EX-4.1 Exhibit 4.1 INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE SEE REVERSE SIDE FOR CERTAIN DEFINITIONS CUSIP 89685A 10 2 THIS CERTIFIES THAT is the owner of FULLY PAID AND NON-ASSESSABLE COMMON SHARES, $0.01 PAR VALUE, OF TRIVASCULAR TECHNOLOGIES, INC. transferable on the books of the Corporation by the holder hereof in person or by Attorney upon surrender of this certificate properly en |
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| April 11, 2014 |
Form 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 TRIVASCULAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 87-0807313 (State of incorporation or organization) (I.R.S. Employer Identification No.) 3 |
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| April 11, 2014 |
As filed with the Securities and Exchange Commission on April 11, 2014 Registration Statement No. |
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| April 3, 2014 |
EX-10.24 8 d638780dex1024.htm EX-10.24 Exhibit 10.24 Form of Non-Employee Vesting Acceleration Addendum TriVascular Technologies, Inc. (formerly known as TV2 Holding Company) This Option Agreement Addendum (“Addendum”) is entered into by and between (“You”) and TV2 Holding Company (“TV2 Holding”). This Addendum alters the terms and conditions of the stock option to purchase shares of TV2 Holding c |
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| April 3, 2014 |
EX-1.1 2 d638780dex11.htm EX-1.1 Exhibit 1.1 TRIVASCULAR TECHNOLOGIES, INC. [ ] Shares of Common Stock, par value $0.01 per share Underwriting Agreement [ ], 2014 J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC As Representatives of the several Underwriters listed in Schedule 1 hereto c/o J.P. Morgan Securities LLC 383 Madison Avenue New York, New York 10179 c/o Credit Suisse Securit |
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| April 3, 2014 |
Amendment No. 1 to Form S-1 Table of Contents As filed with the Securities and Exchange Commission on April 3, 2014 Registration Statement No. 333-194466 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 To FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in Its Charter) Dela |
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| April 3, 2014 |
EX-10.5 Exhibit 10.5 TRIVASCULAR TECHNOLOGIES, INC. 2014 EQUITY INCENTIVE PLAN ADOPTED BY BOARD: [ ], 2014 APPROVED BY STOCKHOLDERS: [ ], 2014 EFFECTIVE DATE/INITIAL PUBLIC OFFERING DATE: [ ], 2014 1. PURPOSES. (a) Available Awards. The purpose of the Plan is to provide a means by which eligible recipients of Awards may be given an opportunity to benefit from increases in value of the Common Stock |
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| April 3, 2014 |
Exhibit 10.4 TRIVASCULAR TECHNOLOGIES, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN APPROVED BY THE BOARD OF DIRECTORS , 2014 APPROVED BY STOCKHOLDERS , 2014 EFFECTIVE DATE/IPO DATE , 2014 1. PURPOSE. (a) The purpose of this 2014 Employee Stock Purchase Plan (the “Plan”) is to provide a means by which employees of TriVascular Technologies, Inc. (the “Company”) and its Affiliates, as defined in subparagr |
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| April 3, 2014 |
TRIVASCULAR TECHNOLOGIES, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY EX-10.6 7 d638780dex106.htm EX-10.6 Exhibit 10.6 TRIVASCULAR TECHNOLOGIES, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY Each member of the Board of Directors (the “Board”) who is not also serving as an employee of TriVascular Technologies, Inc. (the “Company”) or any of its subsidiaries (each such member, an “Eligible Director”) will receive the compensation described in this Non-Employee Direct |
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| April 3, 2014 |
EX-3.4 4 d638780dex34.htm EX-3.4 Exhibit 3.4 AMENDED AND RESTATED BYLAWS OF TRIVASCULAR TECHNOLOGIES, INC. (as amended and restated on [insert date] and effective as of the closing of the Corporation’s initial public offering) 1 TABLE OF CONTENTS Page ARTICLE I — CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II — MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNU |
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| April 3, 2014 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRIVASCULAR TECHNOLOGIES, INC. EX-3.2 Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRIVASCULAR TECHNOLOGIES, INC. TriVascular Technologies, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: FIRST: That the Corporation was originally incorporated in Delaware under the name TV2, Inc., and the date of its filing of its original C |
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| March 28, 2014 |
CORRESP Julia Vax [email protected] +1 415.471.3173 +1 415.471.3400 Fax 10th Floor Three Embarcadero Center San Francisco, CA 94111-4024 March 28, 2014 FOIA CONFIDENTIAL TREATMENT REQUEST PURSUANT TO 17 CFR §200.83 The entity requesting confidential treatment is: TriVascular Technologies, Inc. 3910 Brickway Blvd. Santa Rosa, CA 95403 Attn: Christopher G. Chavez Chief Executive Officer 707-543- |
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| March 25, 2014 |
CORRESP Julia Vax [email protected] +1 415.471.3173 +1 415.471.3400 Fax 10th Floor Three Embarcadero Center San Francisco, CA 94111-4024 March 25, 2014 FOIA CONFIDENTIAL TREATMENT REQUEST PURSUANT TO 17 CFR §200.83 The entity requesting confidential treatment is: TriVascular Technologies, Inc. 3910 Brickway Blvd. Santa Rosa, CA 95403 Attn: Christopher G. Chavez Chief Executive Officer 707-543- |
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| March 10, 2014 |
EX-10.13 18 d638780dex1013.htm EX-10.13 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Three asterisks denote omissions. Exhibit 10.13 KNOW-HOW ASSIGNMENT AGREEMENT THIS KNOW-HOW ASSIGNMENT AGREEMENT (“Agreement”) is made and entered into as of March 28, 2008 (the “Effective Date”), by and between (i) a California corporation that will be known as |
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| March 10, 2014 |
EX-10.19 Exhibit 10.19 TRIVASCULAR October 4, 2009 Mr. Vivek K. Jayaraman Dear Vivek: I am pleased to offer you the position of Vice President, Commercial Operations (Global Marketing, International Sales and Business Development) at TriVascular2, Inc. (“TriVascular2”), reporting to me as TriVascular2, Inc.’s President and CEO. Pay and Benefits. The salary for this position is $20,600 per month le |
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| March 10, 2014 |
Correspondence with the SEC March 10, 2014 VIA EDGAR SUBMISSION U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Amanda Ravitz Re: TriVascular Technologies, Inc. Registration Statement on Form S-1 Confidentially Submitted January 28, 2014 CIK 0001432732 Ladies and Gentlemen: On behalf of TriVascular Technologies, Inc. (the |
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| March 10, 2014 |
Exhibit 10.1 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of , 20 between TriVascular Technologies, Inc., a Delaware corporation (the “Company”), and (“Indemnitee”). This Agreement amends, restates and supersedes any prior agreement with respect to the subject matter hereof between the Company and the Indemnitee. WHEREAS, highly competent p |
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| March 10, 2014 |
LEASE AGREEMENT (Multi-Tenant Facility) EX-10.8 Exhibit 10.8 LEASE AGREEMENT (Multi-Tenant Facility) ARTICLE ONE: BASIC TERMS. This Article One contains the Basic Terms of this Lease between the Landlord and Tenant named below. Other Articles, Sections and Paragraphs of the Lease referred to in this Article One explain and define the Basic Terms and are to be read in conjunction with the Basic Terms. Terms. Section 1.01. Date of Lease: |
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| March 10, 2014 |
EX-10.23 28 d638780dex1023.htm EX-10.23 Exhibit 10.23 TRIVASCULAR October 27, 2009 Robert G. Whirley Dear Robert: This letter confirms the terms of your employment in the position of Vice President, Research and Development at TriVascular2, Inc. (“TriVascular2”), reporting to the President and Chief Executive Officer of TriVascular2, Inc. Pay and Benefits. The salary for this position is $20,600.0 |
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| March 10, 2014 |
EX-10.20 Exhibit 10.20 TRIVASCULAR August 29, 2010 Mr. Michael R. Kramer Dear Michael: I am pleased to offer you the position of Chief Financial Officer at TriVascular, Inc. (“TriVascular”), reporting to me as TriVascular’s President and CEO. Pay and Benefits. The salary for this position is $ 22,917.00 per month less all applicable deductions, paid biweekly in accordance with TriVascular’s standa |
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| March 10, 2014 |
EX-10.11 16 d638780dex1011.htm EX-10.11 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Three asterisks denote omissions. Exhibit 10.11 EXCLUSIVE LICENSE AGREEMENT This Exclusive License Agreement (the Agreement) is made as of March 28, 2008 (the Effective Date) by and between (i) a California corporation that will be known as Trivascular 2, Inc. (a |
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| March 10, 2014 |
EX-10.12 Exhibit 10.12 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Three asterisks denote omissions. NONEXCLUSIVE LICENSE AGREEMENT AND COVENANT NOT TO SUE This Nonexclusive License Agreement and Covenant Not to Sue (the Agreement) is made as of March 28, 2008 (the Effective Date) by and between (i) Boston Scientific Scimed, Inc. a Minnesota cor |
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| March 10, 2014 |
Exhibit 10.21 TRIVASCULAR 11 December 2009 Lou Molinari Dear Lou: I am pleased to confirm your promotion to Vice President, Manufacturing Operations, effective today at TriVascular, Inc. (“TriVascular”), reporting to me. Pay. The salary for this position is $14,350 per month less all applicable deductions, paid biweekly in accordance with TriVascular’s standard payroll practice. Stock Option. Subj |
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| March 10, 2014 |
CERTIFICATE OF AMENDMENT OF THE BYLAWS TV2 HOLDING COMPANY EX-3.3 3 d638780dex33.htm EX-3.3 Exhibit 3.3 CERTIFICATE OF AMENDMENT OF THE BYLAWS OF TV2 HOLDING COMPANY The undersigned, as Secretary of TV2 Holding Company, a Delaware corporation (the “Corporation”), certifies that the following is a true and accurate copy of an amendment to the Bylaws of this Corporation, adopted by the Board of Directors of the Corporation on April 2, 2012 and the stockhold |
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| March 10, 2014 |
Registration Statement - FORM S-1 S-1 1 d638780ds1.htm FORM S-1 Table of Contents As filed with the Securities and Exchange Commission on March 10, 2014 Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRIVASCULAR TECHNOLOGIES, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 3841 87-0807313 ( |
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| March 10, 2014 |
TV2 HOLDING COMPANY WARRANT TO PURCHASE PREFERRED STOCK EX-4.5 7 d638780dex45.htm EX-4.5 Exhibit 4.5 THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR ANY STATE SECURITIES LAWS. NO SALE OR DISPOSITION MAY BE EFFECTED WITHOUT (i) EFFECTIVE REGISTRATION STATEMENTS RELATED THERETO, (ii) AN OPINION OF COUNSEL OR OTHER EVIDENCE, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATIONS ARE NOT REQUIRED, (iii) RECEIPT |
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| March 10, 2014 |
EX-21.1 Exhibit 21.1 Subsidiaries Entity Jurisdiction of Organization TriVascular, Inc. California TriVascular Sales LLC Texas TriVascular Germany GmbH Germany TriVascular Switzerland Sarl Switzerland TriVascular Italia Sarl Italy |
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| March 10, 2014 |
EX-10.22 Exhibit 10.22 TRIVASCULAR September 2, 2009 Ms. Shari L. Allen Dear Shari: I am pleased to offer you the position of Vice President, Clinical/Regulatory Affairs and Quality Assurance at TriVascular2, Inc. (“TriVascular2”), reporting to its President and CEO. Pay and Benefits. The salary for this position is $19,166.67 per month less all applicable deductions, paid biweekly in accordance w |
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| March 10, 2014 |
EX-10.15 Exhibit 10.15 THIS AGREEMENT IS SUBJECT TO THE TERMS OF THE CAPITAL ROYALTY SUBORDINATION AGREEMENT REFERRED TO IN SECTION 7.16 BELOW. LOAN AGREEMENT THIS LOAN AGREEMENT (this “Agreement”), dated as of January 1, 2014, is made among TriVascular Technologies, Inc., a Delaware corporation (“Holdings”), TriVascular, Inc., a California corporation (the “Company,” and together with Holdings, t |
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| March 10, 2014 |
AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.16 Exhibit 10.16 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (“Agreement”), effective as of the 26th day of February, 2014 (the “Effective Date”), is entered into by and between Christopher G. Chavez, an individual and resident of Texas (the “Executive”) and TriVascular, Inc., a California corporation (the “Company”). The Company and Executive pre |
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| March 10, 2014 |
TRIVASCULAR Schedule A CTO Functions and Tasks EX-10.17 Exhibit 10.17 TRIVASCULAR July 3, 2012 Dear Mike: This letter will serve as an amendment (the “Amendment”), effective July 1, 2012, to your offer letter, dated October 27, 2009 and effective as of March 28, 2008 (the “Offer Letter”), initially entered into in connection with your employment by TriVascular, Inc., a California corporation (“TriVascular”) and a wholly-owned subsidiary of TV2 |
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| March 10, 2014 |
KEY EMPLOYEE CHANGE OF CONTROL AND SEVERANCE PAYMENT PLAN EX-10.7 12 d638780dex107.htm EX-10.7 Exhibit 10.7 KEY EMPLOYEE CHANGE OF CONTROL AND SEVERANCE PAYMENT PLAN TV2 Holding Company (“TV2 Holding”) and its wholly-owned subsidiary, TriVascular, Inc. (“TriVascular” and together with TV2 Holding, “TV2”) hereby establish this Key Employee Change of Control and Severance Payment Plan (the “Plan”), effective as of July 18, 2013 (the “Effective Date”). Capi |
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| March 10, 2014 |
CONSENT, ASSIGNMENT, FIRST AMENDMENT TO LEASE AND NON-DISTURBANCE AGREEMENT EX-10.9 Exhibit 10.9 CONSENT, ASSIGNMENT, FIRST AMENDMENT TO LEASE AND NON-DISTURBANCE AGREEMENT THIS CONSENT, ASSIGNMENT, FIRST AMENDMENT TO LEASE AND NON-DISTURBANCE AGREEMENT (“Amendment”) is made effective this 28th day of March, 2008, between CARMEL RIVER, LLC, a Delaware limited liability company, CARLSEN INVESTMENTS, LLC, a California limited liability company, and RIEGER INVESTMENTS, LLC, |
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| March 10, 2014 |
EX-10.18 Exhibit 10.18 TRIVASCULAR March 14, 2013 Kimberley Elting Dear Kimberley: I am pleased to offer you the position of General Counsel and Vice President, Corporate Affairs at TriVascular, Inc. (“TriVascular”), reporting to me as TriVascular’s President and CEO. Pay and Benefits. The salary for this position is $22,917.00 per month ($275,000 annually) less all applicable deductions, paid biw |
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| March 10, 2014 |
EX-10.14 Exhibit 10.14 TERM LOAN AGREEMENT dated as of October 12, 2012 between TV2 HOLDING COMPANY and TRIVASCULAR, INC. as Borrowers, The SUBSIDIARY GUARANTORS from Time to Time Party Hereto, and Capital Royalty Partners II L.P. and Parallel Investment Opportunities Partners II L.P. as Lenders U.S. $50,000,000 TABLE OF CONTENTS Page SECTION 1 DEFINITIONS 1 1.01 Certain Defined Terms 1 1.02 Accou |
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| March 10, 2014 |
TV2 HOLDING COMPANY WARRANT TO PURCHASE COMMON STOCK EX-4.4 Exhibit 4.4 THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR ANY STATE SECURITIES LAWS. NO SALE OR DISPOSITION MAY BE EFFECTED WITHOUT (i) EFFECTIVE REGISTRATION STATEMENTS RELATED THERETO, (ii) AN OPINION OF COUNSEL OR OTHER EVIDENCE, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATIONS ARE NOT REQUIRED, (iii) RECEIPT OF NO-ACTION LETTERS FROM |
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| March 10, 2014 |
WARRANT TO PURCHASE SHARES OF COMMON STOCK EX-4.3 Exhibit 4.3 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS AND MAY NOT BE OFFERED, SOLD, OR TRANSFERRED EXCEPT IN COMPLIANCE THEREWITH. THE SECURITIES ISSUABLE UPON EXERCISE HEREOF ARE ALSO SUBJECT TO ADDITIONAL RESTRICTIONS, INCLUDING RESTRICTIONS ON TRANSFER, AS SET FORTH IN |
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| March 10, 2014 |
EX-10.3 Exhibit 10.3 TRIVASCULAR TECHNOLOGIES, INC. 2008 EQUITY INCENTIVE PLAN FORM OF EARLY EXERCISE STOCK PURCHASE AGREEMENT THIS AGREEMENT is made by and between TRIVASCULAR TECHNOLOGIES, INC., a Delaware corporation (the “Company”), and (“Purchaser”). WITNESSETH: WHEREAS, Purchaser holds a stock option dated , 20 to purchase shares of common stock (“Common Stock”) of the Company (the “Option”) |
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| March 10, 2014 |
EX-4.2 Exhibit 4.2 Execution Version FOURTH AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT dated as of NOVEMBER 1, 2013 among TV2 HOLDING COMPANY and CERTAIN STOCKHOLDERS OF THE COMPANY AND OTHER PERSONS NAMED HEREIN TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 2 Section 1.01 Definitions 2 Section 1.02 Other Definitional and Interpretative Provisions 11 ARTICLE 2 CORPORATE GOVERNANCE 12 Section 2.01 |
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| March 10, 2014 |
EX-10.2 Exhibit 10.2 TRIVASCULAR TECHNOLOGIES, INC. (f/k/a TV2 HOLDING COMPANY) 2008 EQUITY INCENTIVE PLAN ADOPTED BY BOARD: APRIL 25, 2008 APPROVED BY STOCKHOLDERS: APRIL 25, 2008 TERMINATION DATE: APRIL 25, 2018 AMENDED BY THE BOARD ON DECEMBER 12, 2008, NOVEMBER 2, 2009, JUNE 28, 2010, MAY 22, 2012 AND OCTOBER 31, 2013 APPROVED BY STOCKHOLDERS: DECEMBER 12, 2008, NOVEMBER 5, 2009, JUNE 29, 2010 |
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| March 10, 2014 |
WARRANT TO PURCHASE SHARES OF PREFERRED STOCK EX-4.6 Exhibit 4.6 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS AND MAY NOT BE OFFERED, SOLD, OR TRANSFERRED EXCEPT IN COMPLIANCE THEREWITH. THE SECURITIES ISSUABLE UPON EXERCISE HEREOF ARE ALSO SUBJECT TO ADDITIONAL RESTRICTIONS, INCLUDING RESTRICTIONS ON TRANSFER, AS SET FORTH IN |
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| March 10, 2014 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TV2 HOLDING COMPANY The undersigned, on behalf of TV2 Holding Company (the “Corporation”), a corporation organized and existing under, and by virtue of, the General Corporation Law of the State of Delaware, does hereby certify that: 1. The Corporation’s original Certificate of Incorporation was |
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| March 10, 2014 |
EX-10.10 Exhibit 10.10 SECOND AMENDMENT TO LEASE THIS SECOND AMENDMENT TO LEASE (this “Amendment”) is dated as of December , 2011 (the “Effective Date”) by and between Sonoma Airport Properties LLC, a California limited liability company (“Landlord”), TriVascular, Inc., a California corporation (“TV”) and Boston Scientific Corporation, a Delaware corporation (“BSC” or “Tenant”). RECITALS: WHEREAS, |
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| January 28, 2014 |
TV2 HOLDING COMPANY WARRANT TO PURCHASE PREFERRED STOCK EX-4.5 Exhibit 4.5 THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR ANY STATE SECURITIES LAWS. NO SALE OR DISPOSITION MAY BE EFFECTED WITHOUT (i) EFFECTIVE REGISTRATION STATEMENTS RELATED THERETO, (ii) AN OPINION OF COUNSEL OR OTHER EVIDENCE, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATIONS ARE NOT REQUIRED, (iii) RECEIPT OF NO-ACTION LETTERS FROM |
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| January 28, 2014 |
EX-10.16 Exhibit 10.16 TRIVASCULAR March 14, 2013 Kimberley Elting Dear Kimberley: I am pleased to offer you the position of General Counsel and Vice President, Corporate Affairs at TriVascular, Inc. (“TriVascular”), reporting to me as TriVascular’s President and CEO. Pay and Benefits. The salary for this position is $22,917.00 per month ($275,000 annually) less all applicable deductions, paid biw |
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| January 28, 2014 |
EX-10.13 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Three asterisks denote omissions. Exhibit 10.13 KNOW-HOW ASSIGNMENT AGREEMENT THIS KNOW-HOW ASSIGNMENT AGREEMENT (“Agreement”) is made and entered into as of March 28, 2008 (the “Effective Date”), by and between (i) a California corporation that will be known as Trivascular 2, Inc. (after a na |
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| January 28, 2014 |
EX-10.20 Exhibit 10.20 TRIVASCULAR September 2, 2009 Ms. Shari L. Allen Dear Shari: I am pleased to offer you the position of Vice President, Clinical/Regulatory Affairs and Quality Assurance at TriVascular2, Inc. (“TriVascular2”), reporting to its President and CEO. Pay and Benefits. The salary for this position is $19,166.67 per month less all applicable deductions, paid biweekly in accordance w |
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| January 28, 2014 |
EX-10 14 filename14.htm Exhibit 10.18 TRIVASCULAR August 29, 2010 Mr. Michael R. Kramer Dear Michael: I am pleased to offer you the position of Chief Financial Officer at TriVascular, Inc. (“TriVascular”), reporting to me as TriVascular’s President and CEO. Pay and Benefits. The salary for this position is $ 22,917.00 per month less all applicable deductions, paid biweekly in accordance with TriVa |
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| January 28, 2014 |
TRIVASCULAR Schedule A CTO Functions and Tasks Exhibit 10.15 TRIVASCULAR July 3, 2012 Dear Mike: This letter will serve as an amendment (the “Amendment”), effective July 1, 2012, to your offer letter, dated October 27, 2009 and effective as of March 28, 2008 (the “Offer Letter”), initially entered into in connection with your employment by TriVascular, Inc., a California corporation (“TriVascular”) and a wholly-owned subsidiary of TV2 Holding |
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| January 28, 2014 |
EX-10.12 Exhibit 10.12 Confidential Materials omitted and filed separately with the Securities and Exchange Commission. Three asterisks denote omissions. NONEXCLUSIVE LICENSE AGREEMENT AND COVENANT NOT TO SUE This Nonexclusive License Agreement and Covenant Not to Sue (the Agreement) is made as of March 28, 2008 (the Effective Date) by and between (i) Boston Scientific Scimed, Inc. a Minnesota cor |
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| January 28, 2014 |
EX-4.2 Exhibit 4.2 Execution Version FOURTH AMENDED AND RESTATED STOCKHOLDERS’ AGREEMENT dated as of NOVEMBER 1, 2013 among TV2 HOLDING COMPANY and CERTAIN STOCKHOLDERS OF THE COMPANY AND OTHER PERSONS NAMED HEREIN TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 2 Section 1.01 Definitions 2 Section 1.02 Other Definitional and Interpretative Provisions 11 ARTICLE 2 CORPORATE GOVERNANCE 12 Section 2.01 |
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| January 28, 2014 |
WARRANT TO PURCHASE SHARES OF PREFERRED STOCK EX-4.6 Exhibit 4.6 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS AND MAY NOT BE OFFERED, SOLD, OR TRANSFERRED EXCEPT IN COMPLIANCE THEREWITH. THE SECURITIES ISSUABLE UPON EXERCISE HEREOF ARE ALSO SUBJECT TO ADDITIONAL RESTRICTIONS, INCLUDING RESTRICTIONS ON TRANSFER, AS SET FORTH IN |
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| January 28, 2014 |
KEY EMPLOYEE CHANGE OF CONTROL AND SEVERANCE PAYMENT PLAN EX-10 7 filename7.htm Exhibit 10.6 KEY EMPLOYEE CHANGE OF CONTROL AND SEVERANCE PAYMENT PLAN TV2 Holding Company (“TV2 Holding”) and its wholly-owned subsidiary, TriVascular, Inc. (“TriVascular” and together with TV2 Holding, “TV2”) hereby establish this Key Employee Change of Control and Severance Payment Plan (the “Plan”), effective as of July 18, 2013 (the “Effective Date”). Capitalized terms u |
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| January 28, 2014 |
EX-10.21 Exhibit 10.21 TRIVASCULAR October 27, 2009 Robert G. Whirley Dear Robert: This letter confirms the terms of your employment in the position of Vice President, Research and Development at TriVascular2, Inc. (“TriVascular2”), reporting to the President and Chief Executive Officer of TriVascular2, Inc. Pay and Benefits. The salary for this position is $20,600.00 per month less all applicable |
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| January 28, 2014 |
TV2 HOLDING COMPANY WARRANT TO PURCHASE COMMON STOCK EX-4.4 Exhibit 4.4 THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR ANY STATE SECURITIES LAWS. NO SALE OR DISPOSITION MAY BE EFFECTED WITHOUT (i) EFFECTIVE REGISTRATION STATEMENTS RELATED THERETO, (ii) AN OPINION OF COUNSEL OR OTHER EVIDENCE, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATIONS ARE NOT REQUIRED, (iii) RECEIPT OF NO-ACTION LETTERS FROM |
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| January 28, 2014 |
EX-10.17 Exhibit 10.17 TRIVASCULAR October 4, 2009 Mr. Vivek K. Jayaraman Dear Vivek: I am pleased to offer you the position of Vice President, Commercial Operations (Global Marketing, International Sales and Business Development) at TriVascular2, Inc. (“TriVascular2”), reporting to me as TriVascular2, Inc.’s President and CEO. Pay and Benefits. The salary for this position is $20,600 per month le |
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| January 28, 2014 |
EX-10.19 Exhibit 10.19 TRIVASCULAR 11 December 2009 Lou Molinari Dear Lou: I am pleased to confirm your promotion to Vice President, Manufacturing Operations, effective today at TriVascular, Inc. (“TriVascular”), reporting to me. Pay. The salary for this position is $14,350 per month less all applicable deductions, paid biweekly in accordance with TriVascular’s standard payroll practice. Stock Opt |
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| January 28, 2014 |
WARRANT TO PURCHASE SHARES OF COMMON STOCK EX-4.3 Exhibit 4.3 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS AND MAY NOT BE OFFERED, SOLD, OR TRANSFERRED EXCEPT IN COMPLIANCE THEREWITH. THE SECURITIES ISSUABLE UPON EXERCISE HEREOF ARE ALSO SUBJECT TO ADDITIONAL RESTRICTIONS, INCLUDING RESTRICTIONS ON TRANSFER, AS SET FORTH IN |
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| January 28, 2014 |
Confidential Materials omitted and filed separately with the Securities and Exchange Commission. |
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| January 28, 2014 |
DRS/A Table of Contents Index to Financial Statements As confidentially submitted to the Securities and Exchange Commission on January 27, 2014 Registration Statement No. |
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| January 27, 2014 |
DRSLTR Julia Vax [email protected] +1 415.471.3173 +1 415.471.3400 Fax 10th Floor Three Embarcadero Center San Francisco, CA 94111-4024 January 27, 2014 VIA EDGAR SUBMISSION U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Amanda Ravitz Re: TriVascular Technologies, Inc. Registration Statement on Form S-1 Confidentiall |
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| December 16, 2013 |
EX-10.2 Exhibit 10.2 TRIVASCULAR TECHNOLOGIES, INC. (f/k/a TV2 HOLDING COMPANY) 2008 EQUITY INCENTIVE PLAN ADOPTED BY BOARD: APRIL 25, 2008 APPROVED BY STOCKHOLDERS: APRIL 25, 2008 TERMINATION DATE: APRIL 25, 2018 AMENDED BY THE BOARD ON DECEMBER 12, 2008, NOVEMBER 2, 2009, JUNE 28, 2010, MAY 22, 2012 AND OCTOBER 31, 2013 APPROVED BY STOCKHOLDERS: DECEMBER 12, 2008, NOVEMBER 5, 2009, JUNE 29, 2010 |
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| December 16, 2013 |
EX-21.1 Exhibit 21.1 Subsidiaries Entity Jurisdiction of Organization TriVascular, Inc. California TriVascular Sales LLC Texas TriVascular Germany GmbH Germany TriVascular Switzerland Sarl Switzerland TriVascular Italia Sarl Italy |
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| December 16, 2013 |
LEASE AGREEMENT (Multi-Tenant Facility) EX-10.7 Exhibit 10.7 LEASE AGREEMENT (Multi-Tenant Facility) ARTICLE ONE: BASIC TERMS. This Article One contains the Basic Terms of this Lease between the Landlord and Tenant named below. Other Articles, Sections and Paragraphs of the Lease referred to in this Article One explain and define the Basic Terms and are to be read in conjunction with the Basic Terms. Terms. Section 1.01. Date of Lease: |
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| December 16, 2013 |
CONSENT, ASSIGNMENT, FIRST AMENDMENT TO LEASE AND NON-DISTURBANCE AGREEMENT EX-10.8 Exhibit 10.8 CONSENT, ASSIGNMENT, FIRST AMENDMENT TO LEASE AND NON-DISTURBANCE AGREEMENT THIS CONSENT, ASSIGNMENT, FIRST AMENDMENT TO LEASE AND NON-DISTURBANCE AGREEMENT (“Amendment”) is made effective this 28th day of March, 2008, between CARMEL RIVER, LLC, a Delaware limited liability company, CARLSEN INVESTMENTS, LLC, a California limited liability company, and RIEGER INVESTMENTS, LLC, |
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| December 16, 2013 |
DRS Filing Table of Contents As confidentially submitted to the Securities and Exchange Commission on December 13, 2013 Registration Statement No. |
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| December 16, 2013 |
CERTIFICATE OF AMENDMENT OF THE BYLAWS TV2 HOLDING COMPANY EX-3.3 Exhibit 3.3 CERTIFICATE OF AMENDMENT OF THE BYLAWS OF TV2 HOLDING COMPANY The undersigned, as Secretary of TV2 Holding Company, a Delaware corporation (the “Corporation”), certifies that the following is a true and accurate copy of an amendment to the Bylaws of this Corporation, adopted by the Board of Directors of the Corporation on April 2, 2012 and the stockholders of the Corporation on |
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| December 16, 2013 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TV2 HOLDING COMPANY The undersigned, on behalf of TV2 Holding Company (the “Corporation”), a corporation organized and existing under, and by virtue of, the General Corporation Law of the State of Delaware, does hereby certify that: 1. The Corporation’s original Certificate of Incorporation was |
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| December 16, 2013 |
EX-10.9 Exhibit 10.9 SECOND AMENDMENT TO LEASE THIS SECOND AMENDMENT TO LEASE (this “Amendment”) is dated as of December , 2011 (the “Effective Date”) by and between Sonoma Airport Properties LLC, a California limited liability company (“Landlord”), TriVascular, Inc., a California corporation (“TV”) and Boston Scientific Corporation, a Delaware corporation (“BSC” or “Tenant”). RECITALS: WHEREAS, C |
