SEC Form 4 · accession 0001179110-18-010454
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn F McCarrey
Officer — SVP Sales
Period of report
Aug 7, 2018
Accepted (ET)
Aug 9, 2018 · 4:44 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 | Aug 7, 2018 | M | 55,000 | $3.67 | A | 88,057 | D | |
| Common StockF1 | Aug 7, 2018 | F | 5,136 | $39.30 | D | 82,921 | 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) | $3.67 | Aug 7, 2018 | M | 55,000 | D | Mar 1, 2017 | Mar 1, 2020 | Common Stock | 55,000 | 13,000 | D |
Explanation of responses
- F1This Form is being filed to report the exercise of a stock option for a total of 55000 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 49,864 shares of common stock.