SEC Form 4 · accession 0001179110-18-012900
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Erick Wayne DeVinney
Officer — VP, Clinical&Translational Sc
Period of report
Nov 13, 2018
Accepted (ET)
Nov 15, 2018 · 5:18 pm EST
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 | Nov 13, 2018 | M | 35,000 | $2.74 | A | 40,018 | D | |
| Common StockF1 | Nov 13, 2018 | F | 2,882 | $33.28 | D | 37,136 | D | |
| Common Stock | Nov 13, 2018 | M | 274 | $0.27 | A | 37,410 | 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 | Nov 13, 2018 | M | 35,000 | D | Dec 16, 2012 | Dec 16, 2018 | Common Stock | 35,000 | 0 | D |
| Employee Stock Option (right to purchase) | $0.27 | Nov 13, 2018 | M | 274 | D | Nov 18, 2009 | Nov 18, 2018 | Common Stock | 274 | 0 | D |
Explanation of responses
- F1This Form is being filed to report the exercise of a stock option for a total of 35,000 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 32,118 shares of common stock.