Filing Details
- Accession Number:
- 0000805928-23-000009
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-02-01 18:45:29
- Reporting Period:
- 2023-01-30
- Accepted Time:
- 2023-02-01 18:45:29
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 805928 | Axogen Inc. | AXGN | Electromedical & Electrotherapeutic Apparatus (3845) | 411301878 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1222357 | J Peter Mariani | 111 W Oak Ave. Suite 500 Tampa FL 33602 | Evp & 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 | 2023-01-30 | 20,939 | $5.04 | 63,047 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-30 | 14,111 | $9.69 | 48,936 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-01-31 | 20,939 | $5.04 | 69,875 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-31 | 14,320 | $9.55 | 55,555 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-02-01 | 20,940 | $5.04 | 76,495 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-02-01 | 14,550 | $9.36 | 61,945 | 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 (right to purchase) | Disposition | 2023-01-30 | 20,939 | $0.00 | 20,939 | $5.04 |
| Common Stock | Employee Stock Option (right to purchase) | Disposition | 2023-01-31 | 20,939 | $0.00 | 20,939 | $5.04 |
| Common Stock | Employee Stock Option (right to purchase) | Disposition | 2023-02-01 | 20,940 | $0.00 | 20,940 | $5.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 41,879 | 2020-03-01 | 2023-03-01 | No | 4 | M | Direct |
| 20,940 | 2020-03-01 | 2023-03-01 | No | 4 | M | Direct |
| 0 | 2020-03-01 | 2023-03-01 | No | 4 | M | Direct |
Footnotes
- The sale reported on the this Form 4 was effected pursuant to a Rule 10b5-1 trading plan, in order to exercise options that are scheduled to expire on March 1, 2023.
- The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $9.37 to $9.95 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $9.36 to $9.77 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $9.20 to $9.50 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- All shares of Common Stock underlying the employee stock option were fully vested on March 1, 2020 (4 years from the option grant date) based upon a vesting schedule whereby 25% of the aggregate shares vest on March 1, 2017 (12 months from the option grant date) and an additional 12.5% of the aggregate shares vest each 6 months thereafter.
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