SEC Form 4 · accession 0001250853-18-000099
REPLIGEN CORP · RGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roy T Eddleman
10% Owner
Period of report
Jul 12, 2018
Accepted (ET)
Jul 16, 2018 · 5:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000730272
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call option (obligation to sell)F1,F2 | $54.9298 | Jul 12, 2018 | S | 1 | D | Jan 13, 2020 | Jan 13, 2020 | Common Stock | 250,000 | 1 | I |
| Put option (right to sell)F1,F2 | $43.4992 | Jul 12, 2018 | P | 1 | A | Jan 13, 2020 | Jan 13, 2020 | Common Stock | 250,000 | 1 | I |
Explanation of responses
- F1The reporting person entered into a so-called zero-cost collar arrangement pursuant to which he wrote a covered call option and purchased a put option. Only one of the options can be "in the money" on the expiration date, at which time the in-the-money option will be exercised (and settled in cash) and the other option will expire. If neither option is in the money on the expiration date, both will expire.
- F2The securities shown are held of record by the Roy T. Eddleman Living Trust UAD 8-7-2000, of which the reporting person is the sole trustee, and as such, has investment and voting control over such securities.