Horton Amy's Form 4 filing
Artivion, Inc. (AORT) · filed Feb 21, 2023
- Accession no.
- 0000784199-23-000024
- Filed
- Feb 21, 2023
- Trade date
- Feb 17-19, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $253.6K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Horton AmyCIK 0001371523 | Officer (VP, Chief Accounting Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +17,713 | $10.24 | +$181,381.12 | 117,663 | Direct | |
| Feb 17, 2023 | Common Stock | SSaleDisposed | −15,000 | $14.08F2 | −$211,200 | 102,663 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +3,000 | $10.24 | +$30,720 | 105,663 | Direct | |
| Feb 17, 2023 | Common Stock | SSaleDisposed | −3,000 | $14.13F3 | −$42,390 | 102,663 | Direct | |
| Feb 17, 2023 | Common Stock | FTax withholdingDisposed | −363 | $13.96 | −$5,067.48 | 102,300 | Direct | |
| Feb 19, 2023 | Common Stock | FTax withholdingDisposed | −1,107 | $13.96 | −$15,453.72 | 101,193 | Direct | |
| Feb 19, 2023 | Common Stock | FTax withholdingDisposed | −258 | $13.96 | −$3,601.68 | 100,935 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Commn Stock | MOption exerciseDisposed | −17,713 | $10.24 | −$181,381.12 | 0 | Direct | |
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −3,000 | $10.24 | −$30,720 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Reflects weighted average price. Range of prices were between $13.79 to $15.18. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full informationregarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F3
Reflects weighted average price. Range of prices were between $13.65 to $15.18. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full informationregarding the number of shares sold at each separate price
Referenced by the price of 1 transaction in Table I.