SEC Form 4 · accession 0001013606-19-000022
ENDOLOGIX INC /DE/ · ELGX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Thompson
Officer — Chief Medical Officer
Period of report
Dec 30, 2018
Accepted (ET)
Jan 2, 2019 · 9:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001013606
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 30, 2018 | D | 15,000 | $0.00 | D | 53,062 | D | |
| Common StockF2 | Dec 30, 2018 | A | 470,115 | $0.00 | A | 523,177 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to PurchaseF3 | $0.7445 | Dec 30, 2018 | A | 225,621 | A | Dec 30, 2019 | Dec 30, 2028 | Common Stock | 225,621 | 225,621 | D |
Explanation of responses
- F1Shares subject to this Form 4 were granted as part of a performance restricted stock unit granted May 31, 2017. All shares granted were forfeited as of March 13, 2018 due to the single performance milestone being deemed not achievable by the Company. This forfeiture was not previously reported to the Securities and Exchange Commission, as the number of shares was deemed immaterial by the issuer.
- F2The time-based restricted stock unit award shall vest in three equal annual installments on December 30, 2019, December 30, 2020 and December 30, 2021 and shall settle in shares of common stock on each of those dates.
- F3100% of the option award shall vest on December 30, 2019.