Sec Form 3/A Filing - CM Capital @ Sunshine Heart, Inc. - 2012-02-14

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 3/A
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
CM Capital
2. Issuer Name and Ticker or Trading Symbol
Sunshine Heart, Inc. [ SSH]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
LEVEL 9, 545 QUEEN ST.
3. Date of Earliest Transaction (MM/DD/YY)
02/14/2012
(Street)
BRISBANE, C3QLD 4000
4. If Amendment, Date Original Filed (MM/DD/YY)
02/28/2012
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 750,356 I By CM Capital Venture 4A A/C ( 1 )
Common Stock 750,356 I By CM Capital Venture 4B A/C ( 2 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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) $ 6.5114 ( 3 ) 12/08/2014 Common Stock 188,393 ( 4 ) I By CM Capital Venture 4A A/C ( 1 )
Common Stock Warrant (right to buy) $ 6.5114 ( 3 ) 12/08/2014 Common Stock 188,393 ( 4 ) I By CM Capital Venture 4B A/C ( 2 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CM Capital
LEVEL 9
545 QUEEN ST.
BRISBANE, C3QLD 4000
X
CM Capital Venture 4A A/C
LEVEL 9
545 QUEEN ST.
BRISBANE, C3QLD 4000
X
CM Capital Venture 4B A/C
LEVEL 9
545 QUEEN ST.
BRISBANE, C3QLD 4000
X
Signatures
/s/ Jeffrey Mathiesen, Chief Financial Officer of Issuer 05/10/2012
Signature of Reporting Person Date
/s/ Jeffrey Mathiesen, Chief Financial Officer of Issuer 05/10/2012
Signature of Reporting Person Date
/s/ Jeffrey Mathiesen, Chief Financial Officer of Issuer 05/10/2012
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents securities held directly by CM Capital Venture 4A A/C. CM Capital Venture 4A A/C is a fund affiliated with CM Capital Investments Pty Ltd. Mr. Mark Harvey, a director of the Issuer, shares voting and investment power with other partners and may be deemed to be a beneficial owner of the reported securities. Mr. Harvey disclaims indirect beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that Mr. Harvey is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
( 2 )Represents securities held directly by CM Capital Venture 4B A/C. CM Capital Venture 4B A/C is a fund affiliated with CM Capital Investments Pty Ltd. Mr. Mark Harvey, a director of the Issuer, shares voting and investment power with other partners and may be deemed to be a beneficial owner of the reported securities. Mr. Harvey disclaims indirect beneficial ownership of the reported securities except to the extent of his pecuniary interest. This report shall not be deemed an admission that Mr. Harvey is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
( 3 )Immediately exercisable.
( 4 )This Form 3 amends the number of derivative securities beneficially owned in the granted warrant.

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.