SEC Form 4 · accession 0000784199-16-000193
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 17, 2016
Accepted (ET)
Feb 19, 2016 · 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 | Feb 17, 2016 | M | 4,500 | $4.83 | A | 241,096 | D | |
| Common Stock | Feb 17, 2016 | F | 2,130 | $10.20 | D | 238,966 | D | |
| Common Stock | Feb 17, 2016 | M | 8,200 | $4.83 | A | 247,166 | D | |
| Common Stock | Feb 17, 2016 | F | 3,882 | $10.20 | D | 243,284 | D | |
| Common Stock | Feb 18, 2016 | M | 8,000 | $4.83 | A | 251,284 | D | |
| Common StockF1 | Feb 18, 2016 | S | 8,000 | $10.13 | D | 243,284 | D | |
| Common Stock | holding | — | — | — | 1,500 | I | By Children | |
| Common Stock | holding | — | — | — | 5,000 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $4.83 | Feb 17, 2016 | M | 4,500 | D | Feb 23, 2010 | Feb 23, 2016 | Common Stock | 4,500 | 4,500 | D |
| Stock OptionsF2 | $4.83 | Feb 17, 2016 | M | 8,200 | D | Feb 23, 2010 | Feb 23, 2016 | Common Stock | 8,200 | 8,200 | D |
| Stock OptionsF2 | $4.83 | Feb 18, 2016 | M | 8,000 | D | Feb 23, 2010 | Feb 23, 2016 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Reflects weighted average price. Range of prices was between $10.10 to $10.20. 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.
- F2Stock option vested 33 1/3% per year beginning on the first anniversary of the grant date (February 23, 2009).