SEC Form 3 · accession 0001739950-18-000001
RTI SURGICAL, INC. · RTIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith Koford
Officer — Vice President General Counsel
Period of report
May 1, 2018
Accepted (ET)
May 9, 2018 · 3:02 pm 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 StockF1 | holding | — | — | — | 22,900 | 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 value per shareF2 | $5.09 | holding | — | — | — | — | Nov 17, 2024 | Common Stock, pare value $.001 | 20,000 | — | D |
| Option to purchase Common Stock, $.001 par value per shareF3 | $5.23 | holding | — | — | — | — | Feb 17, 2025 | Common Stock, par value $.001 | 20,000 | — | D |
| Option to purchase Common Stock, $.001 par value per shareF4 | $3.31 | holding | — | — | — | — | Feb 24, 2026 | Common Stock, par value $.001 | 12,903 | — | D |
| Option to purchase Common Stock, $.001 par value per shareF5 | $4.60 | holding | — | — | — | — | May 3, 2027 | Common Stock, par value $.001 | 9,010 | — | D |
| Option to purchase Common Stock, $.001 par value per shareF6 | $4.25 | holding | — | — | — | — | Feb 29, 2028 | Common Stock, par value $.001 | 21,800 | — | D |
Explanation of responses
- F1This contains 22,900 restricted stock awards. 13,000 shares will vest as to 4,334 on 5/3/2018 and 4,333 shares on each of 5/3/2019 and 5/3/2020. 9,900 shares will vest as to 3,300 shares on each of 2/28/2019, 2/29/2020 and 2/28/2021.
- F2Consist of 12,000 fully vested and exercisable options and 8,000 unvested options that will vest and become exercisable as to 4,000 shares on each of 11/17/2018 and 11/17/2019.
- F3Consist of 12,000 fully vested and exercisable options and 8,000 unvested options that will vest and become exercisable as to 4,000 shares on each of 2/17/2019 and 2/17/2020.
- F4Consist of 5,162 fully vested and exercisable options and 7,741 unvested options that will vest and become exercisable as to 2,581 shares on 2/24/2019 and 2,580 shares on each of 2/24/2020 and 2/24/2021.
- F5Consist of 1,802 fully vested and exercisable options and 7,208 unvested options that will vest and become exercisable as to 1,802 shares on each of 5/3/2019, 5/3/2020, 5/3/2021 and 5/3/2022.
- F6This option will become exercisable as to 4,360 shares on each of 2/28/19, 2/29/2020, 2/28/2021, 2/28/2022 and 2/28/2023.