SEC Form 4 · accession 0000899243-17-025304
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, 2017
Accepted (ET)
Nov 2, 2017 · 6:33 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, 2017 | M | 3,909 | — | A | 61,229 | 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,F4 | — | Oct 31, 2017 | M | 1,291 | D | — | — | Ordinary Shares | 1,291 | 0 | D |
| Restricted Stock UnitsF1,F7 | — | Oct 31, 2017 | M | 2,618 | D | — | — | Ordinary Shares | 2,618 | 2,618 | D |
| Ordinary Share Option (Right to Buy)F10 | $5.21 | Oct 31, 2017 | A | 9,597 | A | — | Oct 31, 2027 | Ordinary Shares | 9,597 | 9,597 | D |
| Restricted Stock UnitsF1,F11 | — | Oct 31, 2017 | A | 5,758 | A | — | — | Ordinary Shares | 5,758 | 5,758 | D |
| Restricted Stock UnitsF1,F2 | — | holding | — | — | — | — | — | Ordinary Shares | 12,500 | 12,500 | D |
| Ordinary Share Option (Right to Buy)F3 | $11.62 | holding | — | — | — | — | Oct 31, 2025 | Ordinary Shares | 4,303 | 4,303 | D |
| Restricted Stock UnitsF1,F5 | — | holding | — | — | — | — | — | Ordinary Shares | 7,613 | 7,613 | D |
| Ordinary Share Option (Right to Buy)F6 | $5.73 | holding | — | — | — | — | Oct 31, 2026 | Ordinary Shares | 8,726 | 8,726 | D |
| Restricted Stock UnitsF1,F8 | — | holding | — | — | — | — | — | Ordinary Shares | 25,268 | 25,268 | D |
| WarrantF9 | $5.80 | holding | — | — | — | — | Jul 31, 2018 | Ordinary Shares | 1,049 | 1,049 | D |
Explanation of responses
- F1Restricted Stock Units covert into ordinary shares on a one-for-one basis.
- F10The options vest and become exercisable in three equal annual installments beginning October 31, 2018.
- F11On October 31, 2017, the Reporting Person was granted 5,758 restricted stock units, vesting in two equal installments on October 31, 2018 and October 31, 2019.
- F2On September 15, 2014, the reporting person was granted 50,000 restricted stock units, of which 37,500 restricted stock units have vested and been exercised. The remaining 12,500 restricted stock units will vest on September 4, 2018.
- F32,868 options have vested and remain exercisable, 1,435 options will vest on October 31, 2018.
- F4All 2,582 restricted stock units have vested and have been exercised.
- F5On September 4, 2016, the reporting person was granted 15,226 restricted stock units, of which 7,613 restricted stock units have vested and been exercised. The remaining 7,613 restricted stock units will vest on September 4, 2018.
- F62,909 options vested on October 31, 2017 and remain exercisable, 2,909 options will vest on October 31, 2018, 2,908 options will vest on October 31, 2019.
- F7On October 31, 2016, the Reporting Person was granted 5,236 restricted stock units, of which 2,618 have vested and have been exercised. The remaining 2,618 restricted stock units will vest on October 31, 2018.
- F8On September 4, 2017, the reporting person was granted 25,268 restricted stock units, vesting in two equal installments on September 4, 2018 and September 4, 2019.
- F9The warrants are immediately exercisable.