SEC Form 4/A · accession 0001104659-18-010448
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jamie Mark Grooms
Director
Period of report
Feb 13, 2018
Accepted (ET)
Feb 16, 2018 · 8:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000805928
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3 | Feb 13, 2018 | S | 7,100 | $26.20 | D | 202,595 | I | See Footnote |
| Common StockF2,F4 | Feb 13, 2018 | S | 3,200 | $26.22 | D | 9,073 | I | See Footnote |
| Common StockF5,F3 | Feb 14, 2018 | S | 32,936 | $26.72 | D | 169,659 | I | See Footnote |
| Common StockF6,F4 | Feb 14, 2018 | S | 9,073 | $26.71 | D | 0 | I | See Footnote |
| Common StockF7,F3 | Feb 15, 2018 | S | 43,403 | $27.11 | D | 126,256 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $26.55. The reporting person undertakes to provide to AxoGen, Inc., any security holder of AxoGen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $26.60. The reporting person undertakes to provide to AxoGen, Inc., any security holder of AxoGen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F3These shares of common stock are held indirectly by the reporting person through the Jamie Grooms Trust, of which Mr. Grooms is a trustee.
- F4These shares of common stock are held indirectly by the reporting person through the Jamie Grooms Children's Trust, of which Mr. Grooms is a trustee.
- F5The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.10 to $27.05. The reporting person undertakes to provide to AxoGen, Inc., any security holder of AxoGen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F6The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.20 to $26.95. The reporting person undertakes to provide to AxoGen, Inc., any security holder of AxoGen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F7The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.50 to $27.375. The reporting person undertakes to provide to AxoGen, Inc., any security holder of AxoGen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F8The transactions reported on the original Form 4 filed on February 15, 2018 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017.
Remarks
This amended Form 4 corrects an error in Item 5 (Relationship of Reporting Person(s) to Issuer) reflected on the original Form 4 filed on February 15, 2018 and adds footnote 8.