SEC Form 4 · accession 0001209191-18-057651
Azenta, Inc. · AZTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Gray
Officer — Chief Strategy & New Business
Period of report
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 5:22 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 5, 2018 | S | 1,154 | $31.76 | D | 90,652 | D | |
| Common StockF2 | Nov 6, 2018 | A | 24,265 | $0.00 | A | 114,917 | D | |
| Common StockF4 | Nov 6, 2018 | S | 779 | $31.79 | D | 95,635 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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 4, 2018 of 3,750 restricted stock units held by the reporting person.
- F2An initial grant of 45,000 restricted stock units (RSUs) was received on November 4, 2015 and reported on Form 4 dated November 6, 2015. The grant contained 33,750 performance-based units subject to performance-based vesting requirements, measured at the three-year period ended September 30, 2018, resulting in the achievement of 171.9%, or 58,015 of the performance-based units. This transaction represents a grant of an additional 24,265 RSUs. No amount was paid upon grant of RSUs.
- F3The sales reported on this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2018.
- F4Amount of securities beneficially owned reflects a transaction that occurred since the last filing involving 18,503 shares that would not otherwise be reportable on Form 4.