SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
BancBoston Ventures, Inc.

(Last) (First) (Middle)
175 FEDERAL STREET
10TH FLOOR

(Street)
BOSTON MA 02110

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/21/2004
3. Issuer Name and Ticker or Trading Symbol
NeuroMetrix, Inc. [ NURO ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series D Convertible Preferred Stock (1) (1) Common Stock 345,515 (2) D
Series E Convertible Preferred Stock (1) (1) Common Stock 416,667 (3) D
Series E-1 Convertible Preferred Stock (1) (1) Common Stock 173,734 (4) D
Explanation of Responses:
1. These securities are preferred stock of NeuroMetrix and do not have an expiration date. These securities will automatically convert into shares of NeuroMetrix's Common Stock upon the closing of NeuroMetrix's initial public offering.
2. Each share of Series D Convertible Preferred Stock is convertible in approximately 0.3109640 shares of Common Stock.
3. Each share of Series E Convertible Preferred Stock is convertible into approximately 0.4687500 shares of Common Stock.
4. Each share of Series E-1 Convertible Preferred Stock is convertible into approximately 0.2500000 shares of Common Stock.
/s/ Deirdre A. Cunnane, Vice President, BancBoston Ventures Inc. 07/21/2004
** 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 5 (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.
(Page 3 of 5)

EXHIBIT 99.1

Information Regarding Joint Filers

Designated Filer of Form 3: BancBoston Ventures, Inc.

Item 2. Date of Event Requiring Statement: July 21, 2004

Item 4. Issuer Name and Ticker Symbol: NeuroMetrix, Inc. (NURO)

 

Designated Filer:

Ownership Form

Nature of Indirect

Beneficial Ownership

BancBoston Ventures, Inc.

175 Federal Street, 10th Floor

Boston, MA 02110

 

 

Direct

 

Joint Filers:

   

Bank of America Corporation

100 North Tryon Street

Bank of America Plaza

Charlotte, NC 28255

Indirect

Indirect 100% Owner of Reported Shares, as 100% Parent of Fleet National Bank

Fleet National Bank

175 Federal Street, 10th Floor

Boston, MA 02110

Indirect

Indirect 100% Owner of Reported Shares, as 100% Parent of BancBoston Ventures, Inc.

SIGNATURES

BANK OF AMERICA CORPORATION

By: /s/ Michael Bernadino Date: July 21, 2004

Title: Senior Vice President

FLEET NATIONAL BANK

By: /s/ Michael Bernadino Date: July 21, 2004

Title: Senior Vice President