SEC Form 5 · accession 0000784199-17-000072
ARTIVION, INC. · AORT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Davis
Officer — Senior VP, Global Sales
Period of report
Dec 31, 2016
Accepted (ET)
Jul 11, 2017 · 8:56 am 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 | Dec 31, 2016 | M | 2,000 | $10.20 | A | 39,586 | D | |
| Common StockF1 | Jun 30, 2017 | M | 1,305 | $16.2775 | A | 40,891 | D |
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) | $10.20 | Dec 31, 2016 | A | 2,000 | A | Dec 31, 2016 | Dec 31, 2016 | Common Stock | 2,000 | 2,000 | D |
| Stock Option (Right to Buy) | $10.20 | Dec 31, 2016 | M | 2,000 | D | Dec 31, 2016 | Dec 31, 2016 | Common Stock | 2,000 | 0 | D |
| Stock Option (Right to Buy) | $16.2775 | Jun 30, 2017 | A | 1,305 | A | Jun 30, 2017 | Jun 30, 2017 | Common Stock | 1,305 | 1,305 | D |
| Stock Option (Right to Buy) | $16.2775 | Jun 30, 2017 | M | 1,305 | D | Jun 30, 2017 | Jun 30, 2017 | Common Stock | 1,305 | 0 | D |
Explanation of responses
- F1These shares were acquired pursuant to CryoLife Inc.'s Employee Stock Purchase Plan (ESPP). The shares were acquired in transactions exempt from Section 16b-3.