Filing Details
- Accession Number:
- 0001437749-19-018032
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-09-06 21:01:11
- Reporting Period:
- 2019-09-04
- Accepted Time:
- 2019-09-06 21:01:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 834365 | Biolife Solutions Inc | BLFS | Electromedical & Electrotherapeutic Apparatus (3845) | 943076866 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1241181 | Roderick Greef De | C/O Biolife Solutions, Inc. 3303 Monte Villa Parkway, Suite 310 Bothell WA 98021 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-09-04 | 10,000 | $1.64 | 35,859 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-04 | 10,000 | $19.46 | 25,859 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-09-05 | 10,000 | $1.64 | 35,859 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-05 | 10,000 | $19.99 | 25,859 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-09-06 | 10,000 | $1.64 | 35,859 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-06 | 10,000 | $19.88 | 25,859 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option | Disposition | 2019-09-04 | 10,000 | $0.00 | 10,000 | $1.64 |
| Common Stock | Employee Stock Option | Disposition | 2019-09-05 | 10,000 | $0.00 | 10,000 | $1.64 |
| Common Stock | Employee Stock Option | Disposition | 2019-09-06 | 10,000 | $0.00 | 10,000 | $1.64 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 66,919 | 2019-03-01 | 2021-12-20 | No | 4 | M | Direct |
| 56,919 | 2019-03-01 | 2021-12-20 | No | 4 | M | Direct |
| 46,919 | 2019-03-01 | 2021-12-20 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option | $1.81 | 2026-05-03 | 104,000 | 104,000 | Direct | |
| Common Stock | Employee Stock Option | $1.76 | 2026-03-04 | 100,000 | 100,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2026-05-03 | 104,000 | 104,000 | Direct |
| 2026-03-04 | 100,000 | 100,000 | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2018.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.82 to $20.42 per share, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.85 to $20.17 per share, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.46 to $20.10 per share, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- The stock option vests 25% on the first anniversary of the grant date, and in 36 equal monthly installments thereafter.
- The stock option vests 25% on the first anniversary of the grant date and thereafter, in 36 equal monthly installments. Such options shall continue to vest regardless of whether Mr. de Greef's service with the Company continues
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