SEC Form 4 · accession 0001209784-17-000036
ORASURE TECHNOLOGIES INC · OSUR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger L Pringle
Director
Period of report
May 5, 2017
Accepted (ET)
May 9, 2017 · 6:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001116463
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | May 5, 2017 | M | 75,000 | $4.165 | A | 151,452 | D | |
| Common stock | May 5, 2017 | M | 20,552 | $5.04 | A | 172,004 | D | |
| Common stock | May 5, 2017 | M | 15,000 | $5.04 | A | 187,004 | D | |
| Common stock | May 5, 2017 | M | 15,000 | $4.2188 | A | 202,044 | D | |
| Common stock | May 5, 2017 | M | 15,000 | $8.055 | A | 217,004 | D | |
| Common stock | May 5, 2017 | S | 140,552 | $14.933 | D | 76,452 | D | |
| Common stock | holding | — | — | — | 50,476 | I | By family trust | |
| Common stock | holding | — | — | — | 42,000 | I | By proft sharing plan | |
| Common stock | holding | — | — | — | 1,500 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Discounted stock optionsF1 | $4.165 | May 5, 2017 | M | 75,000 | D | — | — | Common stock | 75,000 | 0 | D |
| Discounted stock optionsF2 | $5.04 | May 5, 2017 | M | 20,552 | D | — | — | Common stock | 20,552 | 0 | D |
| Discounted stock optionsF3 | $5.04 | May 5, 2017 | M | 15,000 | D | — | — | Common stock | 15,000 | 0 | D |
| Discounted stock optionsF4 | $4.2188 | May 5, 2017 | M | 15,000 | D | — | — | Common stock | 15,000 | 0 | D |
| Nonqualified stock optionsF5 | $8.055 | May 5, 2017 | M | 15,000 | D | — | Feb 1, 2018 | Common stock | 15,000 | 0 | D |
Explanation of responses
- F1Discounted stock options, granted on 01/08/1991, vesting in five tranches, over a four-year period following the grant date, with no expiration date.
- F2Discounted stock options, granted on 09/04/1992, vesting annually over a fout-year period immediately folowing the grant date, with no expiration date.
- F3Discounted stock options, granted on 12/15/1994, vesting in increments of 5,000 options on February 21, 1996, 1997 and 1998, with no expiration date.
- F4Discounted stock options, granted on 2/17/1998, vesting in increments of 5,000 options on February 17, 1999, 2000 and on September 29, 2000, with no expiration date.
- F5Nonqualified stock options granted on 02/01/2008, vesting and exercisable on a monthly basis, over the 12 months immediately following the grant date.