SEC Form 4 · accession 0000784199-18-000149
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
Jul 23, 2018
Accepted (ET)
Jul 25, 2018 · 4:44 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 | Jul 23, 2018 | M | 1,500 | $10.28 | A | 60,235 | D | |
| Common StockF2,F3 | Jul 23, 2018 | S | 1,500 | $30.50 | D | 58,735 | 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)F4 | $10.28 | Jul 23, 2018 | M | 1,500 | D | Apr 1, 2016 | Apr 1, 2022 | Common Stock | 1,500 | 5,500 | D |
Explanation of responses
- F1In a Form 4 filed on July 10, 2018, Reporting Person over reported the total number of shares beneficially owned by a de minimus number of shares. As a result, such shares were reflected in the post-transaction amounts in column 5 of that Form 4. Beneficially owned shares are hereby updated in column 5 on this Form 4 to remove such previously-added shares.
- F2The sale reported on this form was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on June 14, 2018.
- F3Reflects the price of $30.50 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 4/1/2016