SEC Form 4/A · accession 0001140361-17-042905
ABAXIS INC · ABAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Craig Tockman
Officer — VP-Sales & Mktg, Animal Health
Period of report
Oct 26, 2017
Accepted (ET)
Nov 14, 2017 · 7:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000881890
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 26, 2017 | M | 3,500 | $0.00 | A | 12,441 | D | |
| Common StockF1 | Oct 26, 2017 | F | 1,440 | $0.00 | D | 11,001 | 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 UnitsF2,F3,F4 | $0.00 | Oct 26, 2017 | M | 3,500 | D | Oct 24, 2017 | — | Common Stock | 0 | 0 | D |
Explanation of responses
- F1This amendment is being filed to correctly report the number of restricted stock units disposed of on October 26, 2017.
- F2Each restricted stock unit represents a contingent right to receive one share of Abaxis common stock.
- F3Granted under the Abaxis 2005 Equity Incentive Plan. Restricted stock units vest as to 5% after the first year; then vest as to 10% after the second year; then vest as to 15% after the third year; and the remaining 70% after the fourth year.
- F4Not applicable.