SEC Form 4 · accession 0001493152-18-003187
INTERPACE BIOSCIENCES, INC. · IDXG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory Richard
Officer — Chief Commerical Officer
Period of report
Feb 26, 2018
Accepted (ET)
Mar 9, 2018 · 5:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001054102
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 26, 2018 | M | 2,000 | — | A | 3,241 | D | |
| Common StockF3,F2 | Mar 7, 2018 | A | 28,000 | — | A | 31,241 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F1 | — | Feb 26, 2018 | M | 2,000 | D | — | — | Common Stock | 2,000 | 2,000 | D |
| Stock Option (right to buy)F4 | $1.01 | Mar 7, 2018 | A | 112,000 | A | — | Mar 7, 2028 | Common Stock | 112,000 | 112,000 | D |
Explanation of responses
- F1Mr. Richard received 6,000 restricted stock units on February 26, 2016. 2,000 restricted stock units vested and 759 restricted stock units were withheld for taxes before Mr. Richard was required to report his holdings, 2,000 restricted stock units vested on February 26, 2018 and the remaining 2,000 restricted stock units will vest on February 26, 2019.
- F2Each restricted unit represents the contingent right to receive one share of common stock of Interpace Diagnostics Group, Inc. (the "Issuer").
- F3The restricted units vest annually, in equal installments, over a three-year period, commencing on March 7, 2019.
- F4The option award vests and becomes exercisable over a three-year period, in equal installments, commencing on March 7, 2019, subject to the reporting person's continued service with the Issuer.