SEC Form 4 · accession 0000914190-15-000323
Cardiovascular Systems Inc · CSII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J. Thatcher
Officer — Chief Healthcare Policy Off'r
Period of report
Aug 10, 2015
Accepted (ET)
Aug 12, 2015 · 4:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001180145
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 10, 2015 | A | 15,312 | $0.00 | A | 115,292 | D | |
| Common StockF2 | Aug 10, 2015 | A | 15,312 | $0.00 | A | 130,604 | D | |
| Common StockF3,F4 | Aug 10, 2015 | A | 10,208 | $0.00 | A | 141,203 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F5 | $12.37 | holding | — | — | — | — | Oct 16, 2015 | Common Stock | 64,700 | 64,700 | D |
| Stock Option (right to buy)F5 | $8.83 | holding | — | — | — | — | Apr 17, 2017 | Common Stock | 265 | 265 | D |
| Stock Option (right to buy)F5 | $12.15 | holding | — | — | — | — | Dec 11, 2017 | Common Stock | 32,350 | 32,350 | D |
Explanation of responses
- F1Subject to performance-based forfeiture based on total shareholder return for fiscal 2016 versus the Company's peer group.
- F2Subject to performance-based forfeiture based on annual revenue growth for fiscal 2016 versus the Company's peer group.
- F3Restrictions lapse as to 3,403 shares on each of 8/13/16 and 8/13/17 and 3,402 shares on 8/13/18.
- F4Includes 391 shares acquired on June 30, 2015 through the Issuer's Employee Stock Purchase Plan.
- F5Fully exercisable.