SEC Form 4 · accession 0000784199-16-000285
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
Sep 9, 2016
Accepted (ET)
Sep 13, 2016 · 6:07 pm EDT
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 | Sep 9, 2016 | D | 28,847 | $17.2647 | D | 272,612 | D | |
| Common Stock | Sep 9, 2016 | M | 28,847 | $7.01 | A | 301,459 | D | |
| Common Stock | Sep 12, 2016 | M | 2,986 | $7.01 | A | 275,598 | D | |
| Common StockF2 | Sep 12, 2016 | D | 2,986 | $17.2905 | D | 272,612 | D | |
| Common Stock | Sep 12, 2016 | M | 1,500 | $7.01 | A | 274,112 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $7.01 | Sep 9, 2016 | M | 28,847 | D | Feb 22, 2011 | Feb 22, 2017 | Common Stock | 28,847 | 28,847 | D |
| Stock OptionF3 | $7.01 | Sep 12, 2016 | M | 2,986 | D | Feb 22, 2011 | Feb 22, 2017 | Common Stock | 2,986 | 2,986 | D |
| Stock OptionF3 | $7.01 | Sep 12, 2016 | M | 1,500 | D | Feb 22, 2011 | Feb 22, 2017 | Common Stock | 1,500 | 1,500 | D |
Explanation of responses
- F1Reflects weighted average price. Range was $17.215 to $17.37. 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.
- F2Reflects weighted average price. Range was $17.03 to $17.50. 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.
- F3Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/22/2011