SEC Form 4 · accession 0001245914-15-000004
RTI SURGICAL, INC. · RTIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger W Rose
Officer — Executive Vice President
Period of report
Jun 2, 2015
Accepted (ET)
Jun 3, 2015 · 11:46 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001100441
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 2, 2015 | M | 50,000 | $6.18 | A | 154,109 | D | |
| Common StockF1 | Jun 2, 2015 | F | 46,999 | $6.68 | D | 107,110 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) Granted 6/27/2005F3 | $6.18 | Jun 2, 2015 | M | 50,000 | D | — | Jun 27, 2015 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F146,999 shares were withheld to cover the option cost and applicable taxes.
- F2This option was scheduled to expire on June 27, 2015.
- F3Employee stock option granted pursuant to the RTI Surgical, Inc. 1998 Equity Incentive Plan, exercisable as to 20% on each of the first five anniversaries of the date of grant.