SEC Form 4 · accession 0001652252-16-000093
BIO-RAD LABORATORIES, INC. · BIO BIO.B
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Norman D Schwartz
Officer — Chairman, President, and CEO · Director · 10% Owner
Period of report
Sep 7, 2016
Accepted (ET)
Sep 9, 2016 · 3:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000012208
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Bio-Rad A Common Stock | holding | — | — | — | 411,252 | D | ||
| Bio-Rad B Common Stock | holding | — | — | — | 197,763 | D | ||
| Bio-Rad B Common StockF1 | holding | — | — | — | 12,586 | I | By Spouse | |
| Bio-Rad B Common StockF2 | holding | — | — | — | 4,060,054 | I | By Blue Raven Partners, L.P. | |
| Bio-Rad B Common StockF3 | holding | — | — | — | 13,726 | I | By DANSA Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | $0.00 | Sep 7, 2016 | A | 15,000 | A | — | — | Bio-Rad B Common Stock | 15,000 | 15,000 | D |
| Non-Qualified Stock Option (right to buy)F6 | $159.32 | Sep 7, 2016 | A | 15,000 | A | — | Sep 7, 2026 | Bio-Rad B Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these shares.
- F2The shares are held by a limited partnership of which the reporting person is a limited and general partner. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F3The shares are held by a limited partnership of which the reporting person is a limited partner.
- F4Each restricted stock unit represents a contingent right to receive one share of Bio-Rad Class B common stock.
- F5The restricted stock units vest over five years at 20% per year on the yearly anniversary date of the grant.
- F6The stock option vests over five years at 20% per year on the yearly anniversary date of the grant.