SEC Form 4 · accession 0001652252-16-000136
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
Nov 4, 2016
Accepted (ET)
Nov 8, 2016 · 2:06 pm EST
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 B Common StockF1 | Nov 4, 2016 | M | 2,400 | $0.00 | A | 205,143 | D | |
| Bio-Rad B Common Stock | Nov 4, 2016 | F | 1,253 | $164.74 | D | 203,890 | D | |
| Bio-Rad A Common Stock | holding | — | — | — | 411,252 | D | ||
| Bio-Rad B Common StockF2 | holding | — | — | — | 12,586 | I | By Spouse | |
| Bio-Rad B Common StockF3 | holding | — | — | — | 4,060,054 | I | By Blue Raven Partners, L.P. | |
| Bio-Rad B Common StockF4 | 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 UnitsF5,F6 | $0.00 | Nov 4, 2016 | M | 2,400 | D | — | — | Bio-Rad B Common Stock | 2,400 | 0 | D |
Explanation of responses
- F1Shares of Class B common stock acquired on the vesting of restricted stock units.
- F2The reporting person disclaims beneficial ownership of these shares.
- F3The 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.
- F4The shares are held by a limited partnership of which the reporting person is a limited partner.
- F5Each restricted stock unit represents a contingent right to receive one share of Bio-Rad Class B common stock.
- F6The restricted stock units vest in five equal annual installments beginning November 4, 2012.