SEC Form 4 · accession 0000784199-15-000169
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
Nov 27, 2015
Accepted (ET)
Dec 1, 2015 · 4:35 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 Stock | Nov 27, 2015 | M | 10,581 | $4.83 | A | 250,550 | D | |
| Common StockF1,F2 | Nov 27, 2015 | S | 10,581 | $11.03 | D | 239,969 | D | |
| Common Stock | Nov 30, 2015 | M | 1,219 | $4.83 | A | 241,188 | D | |
| Common StockF1,F3 | Nov 30, 2015 | S | 1,219 | $11.025 | D | 239,969 | D | |
| Common Stock | Nov 30, 2015 | M | 4,000 | $4.83 | A | 243,969 | 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 Buy)F4 | $4.83 | Nov 27, 2015 | M | 10,581 | D | Feb 23, 2010 | Feb 23, 2016 | Common Stock | 10,581 | 14,419 | D |
| Stock Option (Right to Buy)F4 | $4.83 | Nov 30, 2015 | M | 1,219 | D | Feb 23, 2010 | Feb 23, 2016 | Common Stock | 1,219 | 13,200 | D |
| Stock Option (Right to Buy)F4 | $4.83 | Nov 30, 2015 | M | 4,000 | D | Feb 23, 2010 | Feb 23, 2016 | Common Stock | 4,000 | 8,500 | D |
Explanation of responses
- F1The sale reported on this form was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on September 16, 2015.
- F2Reflects weighted average price. Range of prices was between $11.00 to $11.08. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
- F3Reflects weighted average price. Range of prices was between $11.00 to $11.05. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
- F4Stock option vested 33 1/3% per year beginning on the first anniversary of the grant date (February 23, 2009).