SEC Form 4 · accession 0000784199-16-000289
ARTIVION, INC. · AORT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Gale
Officer — VP, Research & Development
Period of report
Sep 12, 2016
Accepted (ET)
Sep 14, 2016 · 5:21 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 12, 2016 | M | 3,000 | $7.01 | A | 74,190 | D | |
| Common StockF2 | Sep 12, 2016 | D | 3,000 | $17.4862 | D | 71,190 | 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 12, 2016 | M | 3,000 | D | Feb 22, 2011 | Feb 22, 2017 | Common Stock | 3,000 | 3,000 | D |
Explanation of responses
- F1Balance reflects a 416 share correction that should have been added to the last total.
- F2Reflects the price of $17.4862 the shares were sold. 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 this 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