SEC Form 4 · accession 0001179110-17-013454
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Louis Friedman
Officer — VP,Regulatory & Quality
Period of report
Oct 24, 2017
Accepted (ET)
Oct 26, 2017 · 5:04 pm EDT
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 | Oct 24, 2017 | M | 40,000 | $2.74 | A | 45,665 | D | |
| Common StockF1 | Oct 24, 2017 | F | 5,480 | $20.00 | D | 40,185 | D | |
| Common Stock | Oct 24, 2017 | M | 1,250 | $5.45 | A | 41,435 | D | |
| Common Stock | Oct 24, 2017 | M | 5,313 | $3.67 | A | 46,748 | D | |
| Common Stock | Oct 24, 2017 | M | 4,375 | $4.81 | A | 51,123 | D | |
| Common Stock | Oct 24, 2017 | M | 16,829 | $1.07 | A | 67,952 | D |
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) | $2.74 | Oct 24, 2017 | M | 40,000 | D | Dec 16, 2015 | Dec 16, 2018 | Common Stock | 40,000 | 0 | D |
| Employee Stock Option (right to purchase) | $5.45 | Oct 24, 2017 | M | 1,250 | D | May 26, 2017 | May 26, 2023 | Common Stock | 1,250 | 3,750 | D |
| Employee Stock Option (right to purchase) | $3.67 | Oct 24, 2017 | M | 5,313 | D | Dec 29, 2015 | Dec 29, 2021 | Common Stock | 5,313 | 3,187 | D |
| Employee Stock Option (right to purchase) | $4.81 | Oct 24, 2017 | M | 4,375 | D | Jan 2, 2015 | Jan 2, 2021 | Common Stock | 4,375 | 625 | D |
| Employee Stock Option (right to purchase) | $1.07 | Oct 24, 2017 | M | 16,829 | D | Jun 20, 2015 | Jun 20, 2018 | Common Stock | 16,829 | 0 | D |
Explanation of responses
- F1This Form is being filed in part to report the exercise of a stock option for a total of 40,000 shares by means of a stock swap. A stock swap is a method of exercising a stock option in which the option holder pays the exercise price using shares of stock already owned. As a result of this stock swap, the Reporting Person, on a net basis, acquired ownership of an additional 34,520 shares of common stock.