SEC Form 4 · accession 0000784199-17-000103
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
Nov 16, 2017
Accepted (ET)
Nov 17, 2017 · 4:17 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 16, 2017 | M | 10,000 | $5.76 | A | 87,135 | D | |
| Common StockF2 | Nov 16, 2017 | S | 10,000 | $19.625 | D | 77,135 | D | |
| Common StockF3 | Nov 16, 2017 | M | 10,000 | $6.12 | A | 87,135 | D | |
| Common StockF2 | Nov 16, 2017 | S | 10,000 | $19.625 | D | 77,135 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F1 | $5.76 | Nov 16, 2017 | M | 10,000 | D | Feb 18, 2013 | Feb 18, 2019 | Common Stock | 10,000 | 0 | D |
| Stock Options (Right to Buy)F3 | $6.12 | Nov 16, 2017 | M | 10,000 | D | Feb 15, 2014 | Feb 15, 2020 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/18/2013
- F2Reflects weighted average price. Range was $19.625 for all shares. 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.
- F3Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/15/2014