SEC Form 4 · accession 0001245915-16-000006
RTI SURGICAL, INC. · RTIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Caroline A Hartill
Officer — Executive Vice President/CSO
Period of report
Feb 24, 2016
Accepted (ET)
Feb 26, 2016 · 1:36 pm EST
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 StockF1 | Feb 24, 2016 | A | 30,211 | $0.00 | A | 125,790 | D | |
| Common StockF3 | Feb 25, 2016 | F | 3,526 | $3.50 | D | 122,264 | 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 purchase common stock $.001 par valueF2 | $3.31 | Feb 24, 2016 | A | 38,710 | A | — | Feb 24, 2026 | Common Stock | 38,710 | 38,710 | D |
Explanation of responses
- F1The Restricted Stock award will become vested as to 10,070 shares on 2/24/2017, 10,070 shares on 2/24/2018 and 10,071 shares on 2/24/2019.
- F2This option will become exercisable as to 7,742 shares on each of 2/24/2017, 2/24/2018, 2/24/2019, 2/24/2020 and 2/24/2021.
- F3Shares withheld by RTI Surgical, Inc. to satisfy the withholding obligation in connection with the vesting of previously awarded restricted stock.