SEC Form 4 · accession 0000789132-16-000248
SPECTRANETICS CORP · SPNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donna Ford-Serbu
Officer — Sr. VP Sales and Mktg, LM
Period of report
Jun 25, 2016
Accepted (ET)
Jun 28, 2016 · 5:07 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 | Jun 25, 2016 | M | 854 | $0.00 | A | 3,237 | D | |
| SPNC Common StockF2 | Jun 25, 2016 | F | 265 | $17.92 | D | 2,972 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SPNC Restricted Stock UnitF3,F4,F5 | — | Jun 25, 2016 | M | 854 | D | — | — | SPNC Common Stock | 854 | 1,706 | D |
Explanation of responses
- F1Restricted Stock Units granted 6/25/2014; second 25% vested 6/25/2016.
- F2Shares withheld to satisfy tax withholding obligations.
- F3Each restricted stock unit represents a contingent right to receive one share of Spectranetics common stock.
- F4Grant Date: 6/25/2014. Restricted Stock Units are on a 4 year 100% vesting schedule; 25% vested on 6/25/2015; 25% vested on 6/25/2016; and 25% vests each calendar year thereafter. 100% fully vested on 6/25/2018.
- F5Not applicable.