SEC Form 5 · accession 0000784199-17-000074
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
Dec 31, 2016
Accepted (ET)
Jul 11, 2017 · 8:58 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 | Jun 30, 2016 | M | 1,205 | $9.163 | A | 53,358 | D | |
| Common StockF1 | Dec 31, 2016 | M | 1,000 | $10.20 | A | 54,358 | D | |
| Common StockF1 | Jun 30, 2017 | M | 714 | $16.2775 | A | 55,072 | 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) | $9.163 | Jun 30, 2016 | A | 1,205 | A | Jun 30, 2016 | Jun 30, 2016 | Common Stock | 1,205 | 1,205 | D |
| Stock Option(Right to Buy) | $9.163 | Jun 30, 2016 | A | 1,205 | D | Jun 30, 2016 | Jun 30, 2016 | Common Stock | 1,205 | 0 | D |
| Stock Option (Right to Buy) | $10.20 | Dec 31, 2016 | A | 1,000 | A | Dec 31, 2016 | Dec 31, 2016 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy) | $10.20 | Dec 31, 2016 | A | 1,000 | D | Dec 31, 2016 | Dec 31, 2016 | Common Stock | 1,000 | 0 | D |
| Stock Option (Right to Buy) | $16.2775 | Jun 30, 2017 | A | 714 | A | Jun 30, 2017 | Jul 30, 2017 | Common Stock | 714 | 714 | D |
| Stock Option (Right to Buy) | $16.2775 | Jun 30, 2017 | M | 714 | A | Jun 30, 2017 | Jun 30, 2017 | Common Stock | 714 | 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.