SEC Form 4 · accession 0001437749-17-018162
Oxford Immunotec Global PLC · OXFD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A Sandberg
Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 2, 2017 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001586049
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Nov 1, 2017 | M | 2,778 | $0.81 | A | 17,778 | D | |
| Ordinary Shares | Nov 1, 2017 | M | 222 | $0.09 | A | 18,000 | D | |
| Ordinary SharesF2 | Nov 1, 2017 | S | 3,000 | $13.35 | D | 15,000 | 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)F3 | $0.81 | Nov 1, 2017 | M | 2,778 | D | — | Dec 31, 2022 | Ordinary Shares | 2,778 | 0 | D |
| Stock Option (Right to Buy)F4 | $0.09 | Nov 1, 2017 | M | 222 | D | — | Mar 31, 2020 | Ordinary Shares | 222 | 7,650 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2017.
- F2The price reported for the sales on November 1, 2017 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.35 to $13.3501 per share, inclusive. The reporting person undertakes to provide Oxford Immunotec Global PLC, or any of its security holders, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4.
- F3Exercise from an option award granted November 7, 2012, which became fully vested on December 31, 2016.
- F4Exercise from an option award granted February 18, 2010, which became fully vested on April 1, 2014.