SEC Form 4 · accession 0001209191-16-133879
REVA Medical, Inc. · RVA:AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Keating
Director
Period of report
Jul 21, 2016
Accepted (ET)
Jul 25, 2016 · 7:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001496268
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 21, 2016 | A | 6,300 | $0.00 | A | 21,300 | D | |
| Common StockF2 | holding | — | — | — | 18,606 | I | Stratford GEM PTY Ltd. |
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)F3 | $8.90 | Jul 21, 2016 | A | 11,800 | A | — | Jul 21, 2026 | Common Stock | 11,800 | 11,800 | D |
Explanation of responses
- F1These restricted stock units will vest in full on the earlier of (i) May 25, 2017 or (ii) one day prior to the Issuer's 2017 Annual General Meeting of Stockholders.
- F2Represents shares held by Stratford GEM PTY Ltd. Anne Keating is the sole director of Stratford GEM PTY Ltd. and controls the voting rights with respect to the shares held by Stratford GEM PTY Ltd. Ms. Keating disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.
- F3Twenty-five (25%) of the option shares vest on August 25, 2016, with the remaining option shares vesting in three (3) equal quarterly installments thereafter.