SEC Form 4 · accession 0001179110-18-004789
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory Gene Freitag
Officer — General Counsel & SVP BD · Director
Period of report
Mar 21, 2018
Accepted (ET)
Mar 23, 2018 · 8:44 am 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 | Mar 21, 2018 | M | 16,000 | $2.46 | A | 148,761 | D | |
| Common StockF1 | Mar 21, 2018 | F | 1,022 | $38.50 | D | 147,739 | D | |
| Common StockF1 | Mar 21, 2018 | M | 15,000 | $4.81 | A | 162,739 | D | |
| Common StockF1 | Mar 21, 2018 | F | 1,874 | $38.50 | D | 160,865 | 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) | $2.46 | Mar 21, 2018 | M | 16,000 | D | Oct 1, 2014 | Oct 1, 2021 | Common Stock | 16,000 | 0 | D |
| Employee Stock Option (right to purchase) | $4.81 | Mar 21, 2018 | M | 15,000 | D | Jan 2, 2015 | Jan 2, 2021 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1This Form is being filed to report the exercise of a stock option for a total of 31,000 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 28,104 shares of common stock.