SEC Form 4 · accession 0001179110-15-016808
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Gregory Gene Freitag
Officer — CFO, General Counsel & SVP BD · Director
Period of report
Dec 28, 2015
Accepted (ET)
Dec 30, 2015 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000805928
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to purchase)F1,F2 | $5.09 | Dec 28, 2015 | A | 9,000 | A | — | Dec 29, 2022 | Common Stock | 9,000 | 9,000 | D |
| Employee Stock Option (right to purchase)F2 | $3.38 | Aug 6, 2015 | A | 83,000 | A | — | Aug 6, 2022 | Common Stock | 83,000 | 83,000 | D |
Explanation of responses
- F1All shares of Common Stock underlying the employee stock option will be fully vested on December 29, 2019 (4 years from the option grant date) based upon a vesting schedule whereby 25% of the aggregate shares vest on December 29, 2016 (12 months from the option grant date) and an additional 12.5% of the aggregate shares vest each 6 months thereafter.
- F2The option is not exercisable until such time as the number of shares reserved for issuance under the AxoGen, Inc. 2010 Stock Incentive Plan, as amended and restated, have been increased by an affirmative vote of the shareholders of AxoGen, Inc. in an amount that exceeds the shares of Common Stock issuable upon exercise of the option and all other options containing this provision granted prior to such shareholder vote.