SEC Form 4 · accession 0001209191-16-156616
Azenta, Inc. · AZTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A Clinton Allen
Director
Period of report
Dec 21, 2016
Accepted (ET)
Dec 23, 2016 · 7:51 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000933974
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 21, 2016 | G | 600 | $0.00 | D | 68,193 | 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 UnitF3,F2 | $0.00 | Dec 23, 2016 | A | 48 | A | — | — | Common Stock | 48 | 7,729 | D |
Explanation of responses
- F1The reporting person gifted 100 shares of Brooks Automation, Inc. stock each to six family members not residing with the reporting person for no consideration. The reporting person disclaims beneficial ownership of and pecuniary interest in such shares.
- F2Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.
- F3Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 2, 2016. Grant of Restricted Stock Units under the Company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.