SEC Form 4 · accession 0000789132-17-000099
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 11, 2017
Accepted (ET)
Jun 13, 2017 · 5:29 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 11, 2017 | M | 1,125 | $0.00 | A | 24,516 | D | |
| SPNC Common StockF2 | Jun 11, 2017 | F | 359 | $26.35 | D | 24,157 | 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 11, 2017 | M | 1,125 | D | — | — | SPNC Common Stock | 1,125 | 2,250 | D |
Explanation of responses
- F1Restricted Stock Units granted 6/11/2015; second 25% vested 6/11/2017.
- 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: 6/11/2015. Restricted Stock Units are on a 4 year 100% vesting schedule; 25% vested on 6/11/2016; and 25% vests each calendar year thereafter. 100% fully vested on 6/11/2019.
- F5Not applicable.