SEC Form 4 · accession 0000899243-16-032681
Quotient Ltd · QTNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Hallsworth
Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 8:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001596946
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | holding | — | — | — | 36,504 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Share Option (Right to Buy)F5 | $5.73 | Oct 31, 2016 | A | 8,726 | A | — | Oct 31, 2026 | Ordinary Shares | 8,726 | 8,726 | D |
| Restricted Stock UnitsF6,F7 | — | Oct 31, 2016 | A | 5,236 | A | — | — | Ordinary Shares | 5,236 | 5,236 | D |
| Ordinary Share Option (Right to Buy)F1 | $11.62 | holding | — | — | — | — | Oct 31, 2025 | Ordinary Shares | 7,505 | 7,505 | D |
| Ordinary Share Option (Right to Buy)F2 | $8.00 | holding | — | — | — | — | Apr 29, 2024 | Ordinary Shares | 5,000 | 5,000 | D |
| Option to Purchase Ordinary SharesF3 | — | holding | — | — | — | Feb 13, 2014 | Aug 30, 2022 | Ordinary Shares | 20,014 | 20,014 | D |
| Ordinary Share Option (Right to Buy)F4 | $9.95 | holding | — | — | — | — | Oct 31, 2024 | Ordinary Shares | 5,025 | 5,025 | D |
Explanation of responses
- F12,502 options vested on October 31, 2016 and remain exercisable, 2,502 options will vest on October 31, 2017, 2,501 options will vest on October 31, 2018.
- F23,334 options have vested and remain exercisable, 1,666 options will vest on April 29, 2017.
- F3The exercise price will be paid in pounds sterling, at GBP0.91 per share.
- F43,350 options have vested and remain exercisable, 1,675 options will vest on October 31, 2017.
- F5The options vest and become exercisable in three equal annual installments beginning October 31, 2017.
- F6Restricted Stock Units convert into ordinary shares on a one-for-one basis.
- F7On October 31, 2016, the reporting person was granted 5,236 restricted stock units, vesting in two equal installments on October 31, 2017 and October 31, 2018.