SEC Form 4 · accession 0000899243-16-017483
BIOLASE, INC · BIOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harold C Flynn Jr.
Officer — President and CEO · Director
Period of report
Mar 26, 2016
Accepted (ET)
Apr 4, 2016 · 8:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811240
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 26, 2016 | M | 29,762 | — | A | 79,762 | D | |
| Common Stock | Apr 1, 2016 | F | 12,803 | $1.26 | D | 66,959 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Mar 26, 2016 | M | 29,762 | D | — | — | Common Stock | 29,762 | 899,761 | D |
Explanation of responses
- F1Restricted stock units covert into common stock on a one-for-one basis.
- F2On February 26, 2016, the reporting person was granted 59,523 restricted stock units, of which 29,762 vested on March 26, 2016. The remaining half will vest on February 18, 2017, subject to the reporting person's continued service with the company through this date.