SEC Form 4 · accession 0000784199-16-000294
ARTIVION, INC. · AORT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jean F Holloway
Officer — VP, General Counsel
Period of report
Sep 12, 2016
Accepted (ET)
Sep 14, 2016 · 5:30 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 Stock | Sep 12, 2016 | M | 3,000 | $9.64 | A | 37,351 | D | |
| Common StockF1 | Sep 12, 2016 | D | 3,000 | $17.0271 | D | 34,351 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $9.64 | Sep 12, 2016 | M | 3,000 | D | Sep 10, 2016 | Sep 10, 2022 | Common Stock | 3,000 | 3,000 | D |
Explanation of responses
- F1Reflects the price of $17.0271 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.
- F2Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 9/10/2016