SEC Form 4 · accession 0000899243-16-032682
Quotient Ltd · QTNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heino von Prondzynski
Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 8:48 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 SharesF1 | Oct 31, 2016 | M | 1,291 | — | A | 31,225 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Oct 31, 2016 | M | 1,291 | D | — | — | Ordinary Shares | 1,291 | 1,291 | D |
| Ordinary Share Option (Right to Buy)F7 | $5.73 | Oct 31, 2016 | A | 8,726 | A | — | Oct 31, 2026 | Ordinary Shares | 8,726 | 8,726 | D |
| Restricted Stock UnitsF1,F8 | — | Oct 31, 2016 | A | 5,236 | A | — | — | Ordinary Shares | 5,236 | 5,236 | D |
| Restricted Stock UnitsF1,F2 | — | holding | — | — | — | — | — | Ordinary Shares | 25,000 | 25,000 | D |
| Restricted Stock UnitsF1,F3 | — | holding | — | — | — | — | — | Ordinary Shares | 4,933 | 4,933 | D |
| Ordinary Share Option (Right to Buy)F4 | $11.62 | holding | — | — | — | — | Oct 31, 2025 | Ordinary Shares | 4,303 | 4,303 | D |
| Restricted Stock UnitsF1,F6 | — | holding | — | — | — | — | — | Ordinary Shares | 15,226 | 15,226 | D |
Explanation of responses
- F1Restricted Stock Units convert into ordinary shares on a one-for-one basis.
- F2On September 15, 2014, the reporting person was granted 50,000 restricted stock units, of which 25,000 restricted stock units have vested and been exercised. The remaining 25,000 restricted stock units will vest in two equal annual installments beginning on September 4, 2017.
- F3On September 4, 2015, the reporting person was granted 9,867 restricted stock units, of which 4,934 restricted stock units have vested and been exercised. The remaining 4,933 restricted stock units will vest on September 4, 2017.
- F41,434 options vested on October 31, 2016 and remain exercisable, 1,434 options will vest on October 31, 2017, 1,435 options will vest on October 31, 2018.
- F5On October 31, 2015, the reporting person was granted 2,582 restricted stock units, of which 1,291 restricted stock units have vested and been exercised. The remaining 1,291 restricted stock units will vest on October 31, 2017.
- F6On September 4, 2016, the reporting person was granted 15,226 restricted stock units, vesting in two equal installments on September 4, 2017 and September 4, 2018.
- F7The options vest and become exercisable in three equal annual installments beginning October 31, 2017.
- F8On 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.