SEC Form 4 · accession 0000784199-18-000151
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
Jul 26, 2018
Accepted (ET)
Jul 30, 2018 · 4:32 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,F2 | Jul 26, 2018 | M | 3,391 | $16.30 | A | 56,134 | D | |
| Common StockF3 | Jul 26, 2018 | S | 3,391 | $31.00 | D | 52,743 | 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 | $16.30 | Jul 26, 2018 | M | 3,391 | D | Feb 21, 2018 | Feb 21, 2024 | Common Stock | 3,391 | 0 | D |
Explanation of responses
- F1The sale reported on this form was effected pursuant to a 10b5-1 trading plan adopted by the reporting person on December 8, 2017.
- F2In 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.
- F3Reflects the price of $31 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