SEC Form 3 · accession 0001415889-15-001306
POLARITYTE, INC. · PTE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary R Anthony
Officer — Principal Accounting Officer
Period of report
Mar 30, 2015
Accepted (ET)
Apr 9, 2015 · 7:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001076682
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 2,875 | D | ||
| Restricted Common StockF1 | holding | — | — | — | 3,552 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $4.48 | holding | — | — | — | — | Aug 5, 2020 | Common Stock | 3,429 | — | D |
| Stock OptionF3 | $5.39 | holding | — | — | — | — | Jan 16, 2020 | Common Stock | 1,454 | — | D |
Explanation of responses
- F1These shares of Restricted Common Stock were awarded pursuant to an annual long-term incentive grant. Of the shares granted, 777 will vest on August 3, 2015, 1,367 will vest on August 5, 2015 and 1,408 will vest on August 5, 2016.
- F2Option grant pursuant to the issuer's incentive plan and without payment of consideration, of which 1,143 have vested, 1,143 will vest on August 5, 2015 and 1,143 will vest on August 5, 2016.
- F3Option grant pursuant to the issuer's incentive plan and without payment of consideration, all of which have vested.