SEC Form 4 · accession 0000789132-15-000133
SPECTRANETICS CORP · SPNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott William Drake
Officer — President, CEO · Director
Period of report
Jul 28, 2015
Accepted (ET)
Jul 28, 2015 · 12:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000789132
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| SPNC Common StockF1 | Jul 28, 2015 | M | 26,643 | $5.63 | A | 81,515 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SPNC Stock OptionF2 | $5.63 | Jul 28, 2015 | M | 26,643 | D | — | Aug 10, 2021 | SPNC Common Stock | 26,643 | 200,707 | D |
Explanation of responses
- F1Under Section 16(b) of the Securities Exchange Act of 1934, as amended, Mr. Drake is prohibited from making non-exempt purchases, including open market purchases, until November 6, 2015.
- F2Grant date 8/10/2011. Options vested upon the Company's stock price achieving $10.00 per share and a four year vesting schedule. Options will be fully vested on 8/10/2015. Options expire in 10 years, 08/10/2021.