SEC Form 5 · accession 0000784199-19-000004
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
Dec 31, 2018
Accepted (ET)
Feb 19, 2019 · 7:46 am EST
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 | Dec 31, 2018 | M | 307 | $23.6725 | A | 53,692 | 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) | $23.6725 | Jul 1, 2018 | A | 307 | A | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 307 | 307 | D |
| Stock Option(Right to Buy) | $23.6725 | Dec 31, 2018 | M | 307 | D | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 307 | 0 | 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.
- 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 5 to remove such previously-added shares.