SEC Form 4 · accession 0001179110-18-004842
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David K Hansen
Officer — VP Finance & Treasurer
Period of report
Mar 22, 2018
Accepted (ET)
Mar 26, 2018 · 6:13 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 | Mar 22, 2018 | M | 35,000 | $2.74 | A | 44,821 | D | |
| Common StockF1 | Mar 22, 2018 | F | 2,425 | $39.55 | D | 42,396 | D | |
| Common StockF1 | Mar 22, 2018 | M | 1,500 | $2.75 | A | 43,896 | D | |
| Common StockF1 | Mar 22, 2018 | F | 104 | $39.55 | D | 43,792 | 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 | Mar 22, 2018 | M | 35,000 | D | Dec 16, 2015 | Dec 16, 2018 | Common Stock | 35,000 | 0 | D |
| Employee Stock Option (right to purchase) | $2.75 | Mar 22, 2018 | M | 1,500 | D | Jan 5, 2016 | Jan 5, 2019 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1This Form is being filed to report the exercise of a stock option for a total of 36,500 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 33,971 shares of common stock.