Zaderej Karen L.'s Form 4 filing
Axogen, Inc. (AXGN) · filed Aug 10, 2021
- Accession no.
- 0000805928-21-000163
- Filed
- Aug 10, 2021
- Trade date
- Aug 6-10, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $757.2K. 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 |
|---|---|
| Zaderej Karen L.CIK 0001530968 | Director, Officer (CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 10, 2021 | Common Stock | MOption exerciseAcquired | +75,000 | $5.09 | +$381,750 | 855,018 | Direct | |
| Aug 6, 2021 | Common Stock | SSaleDisposed | −14,756 | $18.40F2 | −$271,510.4 | 840,262 | Direct | |
| Aug 6, 2021 | Common Stock | SSaleDisposed | −1,259 | $19.18F3 | −$24,147.62 | 839,003 | Direct | |
| Aug 6, 2021 | Common Stock | SSaleDisposed | −22,902 | $18.41F4 | −$421,625.82 | 816,101 | Direct | |
| Aug 6, 2021 | Common Stock | SSaleDisposed | −2,083 | $19.16F5 | −$39,910.28 | 814,018 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 10, 2021 | Common Stock | MOption exerciseDisposed | −75,000 | $5.09 | −$381,750 | 35,000 | 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
The reported shares were sold pursuant to an Approved Rule 10b5-1 Plan dated June 7, 2021, as defined under the Company's Insider Trading Policy, with proceeds in connection with a performance stock award that vested on February 15, 2019. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.20 to 18.69, inclusive. The reporting person undertakes to provide to Axogen, Inc., any security holder of Axogen, Inc., 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 ranges set forth in footnotes (2) through (5) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The reported shares were sold pursuant to an Approved Rule 10b5-1 Plan dated June 7, 2021, as defined under the Company's Insider Trading Policy, with proceeds in connection with a performance stock award that vested on February 15, 2019. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.08 to 19.40, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The reported shares were sold pursuant to an Approved Rule 10b5-1 Plan dated June 7, 2021, as defined under the Company's Insider Trading Policy, with proceeds in connection with the November 19, 2018 and December 19, 2018 stock option exercises. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.20 to 18.69, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
The reported shares were sold pursuant to an Approved Rule 10b5-1 Plan dated June 7, 2021, as defined under the Company's Insider Trading Policy, with proceeds in connection with the November 19, 2018 and December 19, 2018 stock option exercises. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.075 to 19.40, inclusive.
Referenced by the price of 1 transaction in Table I.