| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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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
NeuroMetrix, Inc. [ NURO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/27/2004 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) 07/28/2004 |
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 | 07/27/2004 | C | V | 345,515 | A | (1) | 935,916 | D | ||
| Common Stock | 07/27/2004 | C | V | 416,667 | A | (1) | 935,916 | D | ||
| Common Stock | 07/27/2004 | C | V | 173,734 | A | (1) | 935,916 | D | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 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 | ||||||||
| Series D Convertible Preferred Stock | (1) | 07/27/2004 | D | V | 1,111,110 | (1) | (1) | Common Stock | 345,515 | (1) | 0 | D | |||
| Series E Convertible Preferred Stock | (1) | 07/27/2004 | D | V | 888,890 | (1) | (1) | Common Stock | 416,667 | (1) | 0 | D | |||
| Series E-1 Convertible Preferred Stock | (1) | 07/27/2004 | D | V | 694,939 | (1) | (1) | Common Stock | 173,734 | (1) | 0 | D | |||
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. All shares of preferred stock of the Issuer were automatically converted to common stock upon the closing of the Issuer's initial public offering on July 27, 2004. |
| Deirdre A. Cunnane, Vice President | 08/09/2004 | |
| Charles F. Bowman, Senior Vice President | 08/09/2004 | |
| Charles F. Bowman, Senior Vice President | 08/09/2004 | |
| ** 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 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. | ||
EXHIBIT 99.1
Information Regarding Joint Filers
Designated Filer of Form 3: BancBoston Ventures, Inc.
Item 2. Date of Event Requiring Statement: July 27, 2004
Item 4. Issuer Name and Ticker Symbol: NeuroMetrix, Inc. (NURO)
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Designated Filer: |
Ownership Form |
Nature of Indirect Beneficial Ownership |
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BancBoston Ventures, Inc. 175 Federal Street, 10th Floor Boston, MA 02110 |
Direct |
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Joint Filers: |
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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 |
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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: Charles F. Bowman Date: August 9, 2004
Title: Senior Vice President
FLEET NATIONAL BANK
By: Charles F. Bowman Date: August 9, 2004
Title: Senior Vice President