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This excerpt taken from the IOMI DEF 14A filed Apr 27, 2007. SECTION 16(a)
BENEFICIAL OWNERSHIP REPORTING COMPLIANCE
Our executive officers, directors and 10% stockholders are
required under Section 16(a) of the Securities Exchange Act
of 1934, as amended, to file reports of ownership and changes in
ownership of our securities with the Securities and Exchange
Commission.
Based solely on a review of the copies of reports furnished to
us, we believe that during our 2006 fiscal year, our directors,
executive officers and 10% stockholders complied with all
applicable Section 16(a) filing requirements, except that
(1) Jeff Himawan failed to timely file a Form 4 to
reflect 428,571 shares of common stock purchased in our IPO
by Essex Woodlands Health Ventures V, L.P. on
February 6, 2006, (2) M. James Barrett failed to
timely file a Form 4 to reflect his receipt of a stock
option grant for 10,000 shares of common stock on
May 16, 2006, (3) Thomas Vernon failed to timely file
a Form 4 to reflect 1,000 shares of common stock
purchased in the open market on August 23, 2006,
(4) Jeff Himawan failed to timely file a Form 4 to
reflect 9,000 shares of common stock purchased by Essex
Woodlands Health Ventures V, L.P. pursuant to a 10b5-1
trading plan on September 13, 2006, (5) Jeff Himawan
failed to timely file a Form 4 to reflect 700 shares
of common stock purchased by Essex Woodlands Health
Ventures V, L.P. pursuant to a 10b5-1 trading plan on
September 14, 2006, (6) Jeff Himawan failed to timely
file a Form 4 to reflect 5,540 shares of common stock
purchased by Essex Woodlands Health Ventures V, L.P.
pursuant to a 10b5-1 trading plan on September 29, 2006 and
(7) Jeff Himawan failed to timely file a Form 4 to
reflect 1,500 shares of common stock purchased by Essex
Woodlands Health Ventures V, L.P. pursuant to a 10b5-1
trading plan on October 5, 2006. The above Forms 4
were filed with the Securities Exchange Commission, but were not
filed within the two day time period provided for in
Section 16(a).
Table of Contents
This excerpt taken from the IOMI DEF 14A filed Apr 13, 2006. SECTION 16(a)
BENEFICIAL OWNERSHIP REPORTING COMPLIANCE
Our executive officers, directors and 10% stockholders are
required under Section 16(a) of the Securities Exchange Act
of 1934, as amended, to file reports of ownership and changes in
ownership of our securities with the Securities and Exchange
Commission. During our 2005 fiscal year, our directors,
executive officers and 10% stockholders did not have to comply
with Section 16(a) filing requirements.
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