SEC Form 4 · accession 0001209191-15-002519
Axogen, Inc. · AXGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph M Mandato
Director
Period of report
Dec 10, 2014
Accepted (ET)
Jan 6, 2015 · 6:25 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,F2 | Dec 10, 2014 | S | 47,658 | $3.0575 | D | 1,378,734 | I | see footnote |
| Common StockF2 | Dec 11, 2014 | S | 2,342 | $3.15 | D | 1,376,392 | I | see footnote |
| Common Stock | holding | — | — | — | 43,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $3.60 | Jan 2, 2015 | A | 15,000 | A | Mar 31, 2015 | Jan 1, 2022 | Common Stock | 15,000 | 55,000 | D |
Explanation of responses
- F1Price reflected is the weighted-average sale price for shares sold. The range of the sale prices for the transaction was $3.00 and $3.26 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or security holder of the Issuer, full information regarding the number of shares sold at each sepate price.
- F2The shares are owned by De Novo Ventures II, L.P. ("DNV II"). De Novo Management II, LLC is the sole general partner of DNV II. The reporting person is a managing member of De Novo Management II, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.