SEC Form 4 · accession 0000899243-18-028037
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, 2018
Accepted (ET)
Nov 2, 2018 · 4:38 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, 2018 | M | 5,497 | — | A | 139,098 | 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, 2018 | M | 2,618 | D | — | — | Ordinary Shares | 2,618 | 0 | D |
| Restricted Stock UnitsF1,F7 | — | Oct 31, 2018 | M | 2,879 | D | — | — | Ordinary Shares | 2,879 | 2,879 | D |
| Restricted Stock UnitsF1,F9 | — | Oct 31, 2018 | A | 18,721 | A | — | — | Ordinary Shares | 18,721 | 18,721 | D |
| Restricted Stock UnitsF1,F10 | — | Oct 31, 2018 | A | 10,990 | A | — | — | Ordinary Shares | 10,990 | 10,990 | D |
| Ordinary Share Option (Right to Buy)F11 | $6.41 | Oct 31, 2018 | A | 6,240 | A | — | Oct 31, 2028 | Ordinary Shares | 6,240 | 6,240 | D |
| Ordinary Share Option (Right to Buy)F2 | $11.62 | holding | — | — | — | — | Oct 31, 2025 | Ordinary Shares | 4,303 | 4,303 | D |
| Ordinary Share Option (Right to Buy)F3 | $5.73 | holding | — | — | — | — | Oct 31, 2026 | Ordinary Shares | 8,726 | 8,726 | D |
| Restricted Stock UnitsF1,F5 | — | holding | — | — | — | — | — | Ordinary Shares | 12,634 | 12,634 | D |
| Ordinary Share Option (Right to Buy)F6 | $5.21 | holding | — | — | — | — | Oct 31, 2027 | Ordinary Shares | 9,597 | 9,597 | D |
| Restricted Stock UnitsF1,F8 | — | holding | — | — | — | — | — | Ordinary Shares | 16,574 | 16,574 | D |
Explanation of responses
- F1Restricted Stock Units convert into ordinary shares on a one-for-one basis.
- F10On October 31, 2018, the Reporting Person was granted 10,990 restricted stock units, vesting in four equal installments on January 31, 2019, April 30, 2019, July 30, 2019 and October 31, 2019.
- F11The options vest and become exercisable in three equal annual installments beginning October 31, 2019.
- F2All 4,303 options have vested and remain exercisable.
- F35,818 options have vested and remain exercisable, 2,908 options will vest on October 31, 2019.
- F4On October 31, 2016, the Reporting Person was granted 5,236 restricted stock units, all of which have vested and have been exercised.
- F5On September 4, 2017, the reporting person was granted 25,268 restricted stock units, of which 12,634 restricted stock units have vested and have been exercised. The remaining 12,634 restricted stock units will vest on September 4, 2019.
- F63,199 options vested on October 31, 2018 and remain exercisable, 3,199 options will vest on October 31, 2019 and 3,199 options will vest on October 31, 2020.
- F7On October 31, 2017, the Reporting Person was granted 5,758 restricted stock units, of which 2,879 have vested and have been exercised. The remaining 2,879 restricted stock units will vest on October 31, 2019.
- F8On April 4, 2018, the Reporting Person was granted 33,150 restricted stock units, of which 16,576 restricted stock units have vested and have converted to ordinary shares. The remaining 16,574 restricted stock units will vest quarterly in two equal installments on January 4, 2019 and April 4, 2019.
- F9On October 31, 2018, the Reporting Person was granted 18,721 restricted stock units, vesting in four equal installments on January 31, 2019, April 30, 2019, July 30, 2019 and October 31, 2019.