SEC Form 4 · accession 0000789132-17-000121
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
Jul 10, 2017
Accepted (ET)
Jul 11, 2017 · 5:59 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 10, 2017 | M | 754 | $0.00 | A | 25,492 | D | |
| SPNC Common StockF2 | Jul 10, 2017 | F | 241 | $38.35 | D | 25,251 | 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 | — | Jul 10, 2017 | M | 754 | D | — | — | SPNC Common Stock | 754 | 0 | D |
Explanation of responses
- F1Restricted Stock Units granted 7/10/2013; fourth 25% vested 7/10/2017.
- 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: 7/10/2013. Restricted Stock Units are on a 4 year 100% vesting schedule; 25% vested on 7/10/2014; 25% vested on 7/10/2015; and 25% vests each calendar year thereafter. 100% fully vested on 7/10/2017.
- F5Not applicable.