SEC Form 4 · accession 0000784199-18-000173
ARTIVION, INC. · AORT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Mackin
Officer — President & CEO
Period of report
Aug 13, 2018
Accepted (ET)
Aug 15, 2018 · 5:48 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 Stock | Aug 13, 2018 | M | 103,072 | $10.24 | A | 380,970 | D | |
| Common StockF1 | Aug 13, 2018 | S | 103,072 | $32.1712 | D | 277,898 | D | |
| Common Stock | Aug 14, 2018 | M | 37,077 | $10.24 | A | 314,975 | D | |
| Common StockF2 | Aug 14, 2018 | S | 37,077 | $32.216 | D | 277,898 | D | |
| Common Stock | Aug 15, 2018 | M | 9,851 | $10.24 | A | 287,749 | D | |
| Common StockF3 | Aug 15, 2018 | S | 9,851 | $31.7946 | D | 277,898 | 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)F4 | $10.24 | Aug 13, 2018 | M | 103,072 | D | Sep 2, 2015 | Sep 2, 2021 | Common Stock | 103,072 | 63,193 | D |
| Stock Options (Right to Buy)F4 | $10.24 | Aug 14, 2018 | M | 37,077 | D | Sep 2, 2015 | Sep 2, 2021 | Common Stock | 37,077 | 26,116 | D |
| Stock Options (Right to Buy)F4 | $10.24 | Aug 15, 2018 | M | 9,851 | D | Sep 2, 2015 | Sep 2, 2021 | Common Stock | 9,851 | 16,265 | D |
Explanation of responses
- F1Reflects weighted average price. Range of prices were between $32.00 to $32.625. 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 sold at each separate price.
- F2Reflects weighted average price. Range of prices were between $32.00 to $32.95. 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 sold at each separate price.
- F3Reflects weighted average price. Range of prices were between $31.75 to $31.90. 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 sold at each separate price.
- F4Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 9/2/2015