R. Kerry Hicks - Aug 10, 2023 Form 3 Insider Report for TriSalus Life Sciences, Inc. (TLSI)

Role
Director
Signature
/s/ Sean Murphy, Attorney-in-Fact for Kerry Hicks
Stock symbol
TLSI
Transactions as of
Aug 10, 2023
Transactions value $
$0
Form type
3
Date filed
8/14/2023, 05:42 PM
Next filing
Aug 21, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding TLSI Common Stock 1.37M Aug 10, 2023 By HW Investment Partners, LLC F1, F2
holding TLSI Common Stock 515K Aug 10, 2023 Direct F1
holding TLSI Common Stock 81.8K Aug 10, 2023 By Millennium Trust Company, LLC F1, F3
holding TLSI Common Stock 323K Aug 10, 2023 By The Kerry Raymond Hicks Dynasty Trust F1, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding TLSI Stock Option (right to buy) Aug 10, 2023 Common Stock 1.98K $0.41 Direct F1, F5
holding TLSI Stock Option (right to buy) Aug 10, 2023 Common Stock 4.94K $0.41 Direct F1, F6
holding TLSI Stock Option (right to buy) Aug 10, 2023 Common Stock 12.4K $2.43 Direct F1, F7
holding TLSI Stock Option (right to buy) Aug 10, 2023 Common Stock 4.94K $2.43 Direct F1, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The securities reported herein were acquired by the Reporting Person prior to the Reporting Person becoming a director of the Issuer. The Reporting Person was appointed as a director of the Issuer effective immediately after the effective time of the Merger (as defined in that certain Agreement and Plan of Merger, dated as of November 11, 2022, as amended, by and among the Issuer, MTAC Merger Sub, Inc., and TriSalus Operating Life Sciences, Inc.).
F2 The Reporting Person is a managing member of HW Investment Partners, LLC ("HW Investment") and shares voting and investment discretion with respect to the shares held directly by HW Investment. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F3 The shares are held directly by Millennium Trust Company, LLC for which the Reporting Person acts as custodian. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F4 The shares are held directly by The Kerry Raymond Hicks Dynasty Trust, for which the Reporting Person serves as trustee.
F5 The shares subject to this option shall vest in equal quarterly installments over three years, with 1/12th of the total number of shares subject to the option vesting on each quarterly anniversary of the vesting commencement date, subject to the Reporting Person's continued service with the Issuer on each respective vesting date.
F6 The shares subject to this stock option vest in 48 equal monthly installments from the vesting commencement date of March 18, 2021, subject to the Reporting Person's continued service with the Issuer on each respective vesting date.
F7 The shares subject to this stock option vest in 48 equal monthly installments from the vesting commencement date of January 19, 2022, subject to the Reporting Person's continued service with the Issuer on each respective vesting date.
F8 Twenty-five percent of the shares subject to the option vested on June 17, 2023, the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer on each respective vesting date.