SEC Form 4 · accession 0000784199-17-000101
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
Nov 8, 2017
Accepted (ET)
Nov 13, 2017 · 4:47 pm EST
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 | Nov 8, 2017 | M | 33,190 | $5.12 | A | 324,339 | D | |
| Common StockF2 | Nov 8, 2017 | S | 33,190 | $18.9982 | D | 291,149 | D | |
| Common StockF1 | Nov 9, 2017 | M | 30,143 | $5.12 | A | 321,292 | D | |
| Common StockF3 | Nov 9, 2017 | S | 30,143 | $18.5744 | D | 291,149 | D | |
| Common Stock | holding | — | — | — | 5,000 | I | Shares owned by Spouse | |
| Common Stock | holding | — | — | — | 1,500 | I | Shares owned by minor children |
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) | $5.12 | Nov 8, 2017 | M | 33,190 | D | Feb 23, 2012 | Feb 23, 2018 | Common Stock | 33,190 | 30,143 | D |
| Stock Option (Right to Buy) | $5.12 | Nov 9, 2017 | M | 30,143 | D | Feb 23, 2012 | Feb 23, 2018 | Common Stock | 30,143 | 0 | D |
Explanation of responses
- F1Stock option vested 33 1/3% per year beginning on the first anniversary of the grant date (February 23, 2012).
- F2Reflects weighted average price. Range was $18.95 to $19.10. 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.
- F3Reflects weighted average price. Range was $18.50 to $18.85. 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.