SEC Form 4 · accession 0001085535-19-000001
ATRION CORP · ATRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P Stupp Jr.
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 2, 2019 · 6:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000701288
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock UnitsF1,F3,F4 | — | Jan 2, 2019 | A | 4 | A | — | — | Common Shares | 4 | 478 | D |
| Stock UnitsF2,F4 | — | Jan 2, 2019 | A | 5 | A | — | — | Common Shares | 5 | 483 | D |
Explanation of responses
- F1Dividend Equivalents credited as Stock Units under the Atrion Corporation Deferred Compensation Plan for Non-Employee Directors, as amended and restated (the Deferred Compensation Plan)
- F2In accordance with the Deferred Compensation Plan, the reported Stock Units were credited to the reporting persons Stock Unit Account in connection with the reporting persons election to defer a portion of the reporting persons compensation as a member of the Board of Directors. These Stock Units vest 25% on January 2, 2019, 25% on April 1, 2019, 25% on July 1, 2019 and 25% on October 1, 2019, provided the reporting person is serving on such date as a member of the Board of Directors. In January of the year following the year in which service as a director ceases for any reason, vested Stock Units will convert to shares of common stock, without further consideration, on a one for one basis.
- F3In January of the year following the year in which service as a director ceases for any reason, these Stock Units will convert to shares of common stock, without further consideration, on a one for one basis.
- F4Stock Units will not expire.