SEC Form 4 · accession 0001209191-17-060429
Azenta, Inc. · AZTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen S Schwartz
Officer — CEO · Director
Period of report
Nov 8, 2017
Accepted (ET)
Nov 13, 2017 · 6:05 pm 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 | Nov 8, 2017 | A | 16,180 | $0.00 | A | 661,852 | D | |
| Common StockF2 | Nov 8, 2017 | A | 2,222 | $0.00 | A | 664,074 | D | |
| Common StockF3 | Nov 9, 2017 | S | 27,915 | $28.55 | D | 636,159 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2018.
- F2An initial grant of 160,000 restricted stock units (RSUs) was received on November 5, 2014 and reported on Form 4 dated November 6, 2014. The grant contained 48,000 performance-based units subject to performance-based vesting requirements, measured at the three-year period ended September 30, 2017, resulting in the achievement of 104.63%, or 50,222 of the performance-based units. This transaction represents a grant of an additional 2,222 RSUs. No amount was paid upon grant of RSUs.
- F3The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 8, 2017 of 50,222 restricted stock units held by the reporting person.