SEC Form 4 · accession 0000784199-18-000177
ARTIVION, INC. · AORT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Ashley Lee
Officer — Executive VP, COO & CFO
Period of report
Aug 15, 2018
Accepted (ET)
Aug 16, 2018 · 5:24 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 | Aug 15, 2018 | M | 16,666 | $5.67 | A | 296,398 | D | |
| Common StockF2 | Aug 15, 2018 | S | 16,666 | $31.9209 | D | 279,732 | 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)F3 | $5.67 | Aug 15, 2018 | M | 16,666 | D | Feb 18, 2013 | Feb 18, 2019 | Common Stock | 16,666 | 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 June 14, 2018.
- F2Reflects weighted average price. Range was $31.74 to $32.04. 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 2/18/2013