SEC Form 4 · accession 0000784199-18-000141
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
Jun 30, 2018
Accepted (ET)
Jul 10, 2018 · 4:43 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 StockF1 | Jan 1, 2018 | M | 1,308 | $16.235 | A | 52,746 | D | |
| Common StockF2 | Jul 6, 2018 | M | 3,391 | $16.30 | A | 56,137 | D | |
| Common StockF3 | Jul 6, 2018 | S | 3,391 | $30.00 | D | 52,746 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| ESPP | $16.235 | Jan 1, 2018 | A | 1,308 | A | Jun 30, 2018 | Jun 30, 2018 | Common Stock | 1,308 | 1,308 | D |
| ESPP | $16.235 | Jun 30, 2018 | M | 1,308 | D | Jun 30, 2018 | Jun 30, 2018 | Common Stock | 1,308 | 0 | D |
| Stock Option (Right to Buy)F4 | $16.30 | Jul 6, 2018 | M | 3,391 | D | Feb 21, 2018 | Feb 21, 2024 | Common Stock | 3,391 | 16,953 | 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.
- F2The sale reported on this form was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 8, 2017.
- F3Reflects the price of $30 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
- F4Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/21/2018