FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Symmetry Medical Inc. [ SMA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year)
03/07/2006 |
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/07/2006 | D | 1,000 ( 1 ) | D | $0 | 0 ( 1 ) | D | |||
Common Stock | 09/29/2006 | X | 88,223 | A | $0.01 | 4,482,813 | I ( 6 ) ( 7 ) ( 8 ) | See Footnote ( 6 ) ( 7 ) ( 8 ) | ||
Common Stock | 09/29/2006 | S | 1,100,000 | D | $15.5 | 3,382,813 | I ( 6 ) ( 7 ) ( 8 ) | See Footnote ( 6 ) ( 7 ) ( 8 ) | ||
Common Stock | 555,946 | I ( 2 ) ( 6 ) ( 7 ) | See Footnote ( 2 ) ( 6 ) ( 7 ) | |||||||
Common Stock | 2,280 | I ( 5 ) ( 6 ) ( 7 ) | See Footnote ( 5 ) ( 6 ) ( 7 ) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock (Warrant right to buy) | $0.01 | 09/29/2006 | X ( 4 ) | 88,282 | ( 3 ) | 06/11/2013 | Common Stock | 88,282 | $0.01 | 0 | I ( 6 ) ( 7 ) ( 8 ) | See Footnote ( 6 ) ( 7 ) ( 8 ) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Consists of restricted stock held directly by Mr. Robert S. Morris, issued pursuant to the Issuer's 2004 Equity Incentive Plan, that was forfeited when Mr. Morris resigned as a director of the Issuer. |
2. Represents shares directly owned by OGP III, LLC. Shares beneficially owned by OPG III, LLC are beneficially owned indirectly by RSM, L.L.C., the managing member of OGP III, LLC; and by Mr. Morris, the Managing Member of RSM, L.L.C. |
3. Currently exercisable. |
4. The transaction being reported is a cashless exercise of warrants to purchase 88,282 shares of common stock, upon which 88,223 shares of common stock were issued. |
5. Represents shares directly owned by OEF, L.P. Shares beneficially owned by OEF, L.P. are beneficially owned by RSM, L.L.C., its General Partner, and by Mr. Morris, the Managing Member of RSM, L.L.C. |
6. Following the dispositions set forth in this Form 4, Olympus Growth Fund III, L.P. was the record owner of 3,382,813 shares of common stock, OGP III, LLC was the record owner 555,946 shares of common stock and OEF, L.P. was the record owner of 2,280 shares of common stock. (continued footnote 2) |
7. Mr. Morris is the managing partner of Olympus Partners and the Managing Member of RSM, L.L.C., and, in such capacities, has voting and investment power with respect to all shares held by the Olympus funds and has a pecuniary interest in certain of those shares. Mr. Morris disclaims beneficial ownership of the common stock owned by the above entities, except to the extent of his proportionate pecuniary interest therein. |
8. Represents shares or warrants, as applicable, directly owned by Olympus Growth Fund III, L.P. Shares beneficially owned by Olympus Growth Fund III, L.P. are beneficially owned indirectly by OGP III, LLC, its General Partner; by RSM, L.L.C., the Managing Member of OGP III, LLC; and by Mr. Morris, the Managing Member of RSM, L.L.C. |
/s/ Manu Bettegowda, under power of attorney for Robert S. Morris | 10/03/2006 | |
/s/ James A. Conroy, as the Member of Conroy, L.L.C., a General Partner of OEF, L.P. | 10/03/2006 | |
/s/ James A. Conroy, as the Member of Conroy, L.L.C., a Member of OGP III, L.L.C., the General Partner of Olympus Growth Fund III, L.P. | 10/03/2006 | |
/s/ James A. Conroy, as the Member of Conroy, L.L.C., a Member of OGP III, LLC | 10/03/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |