SEC Form 4 · accession 0000784199-15-000053
ARTIVION, INC. · AORT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Ashley Lee
Officer — Executive VP, COO & CFO
Period of report
Feb 18, 2015
Accepted (ET)
Feb 20, 2015 · 4:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000784199
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 18, 2015 | F | 5,558 | $10.82 | D | 222,180 | D | |
| Common StockF2 | Feb 19, 2015 | A | 12,333 | $11.00 | A | 234,513 | D | |
| Common Stock | holding | — | — | — | 5,000 | I | By Spouse | |
| Common Stock | holding | — | — | — | 1,500 | I | By Children |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to BuyF3 | $11.00 | Feb 19, 2015 | A | 34,042 | A | Feb 19, 2016 | Feb 19, 2022 | Common Stock | 34,042 | 34,042 | D |
Explanation of responses
- F1These shares were withheld upon the vesting of restricted stock to pay tax withholding obligations.
- F2Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.
- F3Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date (February 19, 2015).