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AORT

ARTIVION, INC.

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4767
SEC CIK
0000784199
Parsed reports
700

Last 12 months

Inside the activity.

0 purchase rows · 64 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025024
Dec 202506
Jan 202600
Feb 2026012
Mar 2026013
Apr 202600
May 202600
Jun 202602
Jul 202600
Aug 202604
Sep 202603
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 23, 2021 Filed Feb 25, 2021 22:58 UTC
Maier Dennis BVice President, Operations
GrantCommon Stock 3,176 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000055 · certent-form4.xml · nonDerivative · entry 1

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,092

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:56 UTC
Mackin James PPresident & CEO
Tax withholdingCommon Stock 4,383 $25.41 $111,372.03
Disclosure

SEC source: 0000784199-21-000053 · certent-form4.xml · nonDerivative · entry 2

Mackin James P · CIK 0001408470 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,431

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:56 UTC
Mackin James PPresident & CEO
GrantCommon Stock 28,415 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000053 · certent-form4.xml · nonDerivative · entry 1

Mackin James P · CIK 0001408470 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,814

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:55 UTC
LEE DAVID ASHLEYExecutive VP, COO & CFO
Tax withholdingCommon Stock 1,237 $25.41 $31,432.17
Disclosure

SEC source: 0000784199-21-000051 · certent-form4.xml · nonDerivative · entry 2

LEE DAVID ASHLEY · CIK 0001112830 · Executive VP, COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,118

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:55 UTC
LEE DAVID ASHLEYExecutive VP, COO & CFO
GrantCommon Stock 6,987 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000051 · certent-form4.xml · nonDerivative · entry 1

LEE DAVID ASHLEY · CIK 0001112830 · Executive VP, COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,355

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:53 UTC
Horton AmyVP, Chief Accounting Officer
Tax withholdingCommon Stock 619 $25.41 $15,728.79
Disclosure

SEC source: 0000784199-21-000049 · certent-form4.xml · nonDerivative · entry 2

Horton Amy · CIK 0001371523 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,866

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:53 UTC
Horton AmyVP, Chief Accounting Officer
GrantCommon Stock 3,493 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000049 · certent-form4.xml · nonDerivative · entry 1

Horton Amy · CIK 0001371523 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,485

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:49 UTC
Holloway Jean FVP, General Counsel
Tax withholdingCommon Stock 990 $25.41 $25,155.90
Disclosure

SEC source: 0000784199-21-000047 · certent-form4.xml · nonDerivative · entry 2

Holloway Jean F · CIK 0001540065 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,904

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:49 UTC
Holloway Jean FVP, General Counsel
GrantCommon Stock 5,589 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000047 · certent-form4.xml · nonDerivative · entry 1

Holloway Jean F · CIK 0001540065 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,894

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:47 UTC
Getz Matthew AVP, Human Resources
Tax withholdingCommon Stock 563 $25.41 $14,305.83
Disclosure

SEC source: 0000784199-21-000045 · certent-form4.xml · nonDerivative · entry 2

Getz Matthew A · CIK 0001784253 · VP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,514

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:47 UTC
Getz Matthew AVP, Human Resources
GrantCommon Stock 3,176 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000045 · certent-form4.xml · nonDerivative · entry 1

Getz Matthew A · CIK 0001784253 · VP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,077

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:44 UTC
Davis John ESenior VP, Global Sales
Tax withholdingCommon Stock 945 $25.41 $24,012.45
Disclosure

SEC source: 0000784199-21-000043 · certent-form4.xml · nonDerivative · entry 2

Davis John E · CIK 0001653206 · Senior VP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,787

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:44 UTC
Davis John ESenior VP, Global Sales
GrantCommon Stock 5,335 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000043 · certent-form4.xml · nonDerivative · entry 1

Davis John E · CIK 0001653206 · Senior VP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,732

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:42 UTC
Capps Scott BVP, Clinical Research
Tax withholdingCommon Stock 563 $25.41 $14,305.83
Disclosure

SEC source: 0000784199-21-000041 · certent-form4.xml · nonDerivative · entry 2

Capps Scott B · CIK 0001409753 · VP, Clinical Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,801

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:42 UTC
Capps Scott BVP, Clinical Research
GrantCommon Stock 3,176 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000041 · certent-form4.xml · nonDerivative · entry 1

Capps Scott B · CIK 0001409753 · VP, Clinical Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,364

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:41 UTC
Barthold Franz PeterVP, Research & Development
Tax withholdingCommon Stock 704 $25.41 $17,888.64
Disclosure

SEC source: 0000784199-21-000039 · certent-form4.xml · nonDerivative · entry 2

Barthold Franz Peter · CIK 0001806854 · VP, Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,300

F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations.

Read SEC document
February 23, 2021 Filed Feb 25, 2021 22:41 UTC
Barthold Franz PeterVP, Research & Development
GrantCommon Stock 3,176 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000039 · certent-form4.xml · nonDerivative · entry 1

Barthold Franz Peter · CIK 0001806854 · VP, Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,004

F1 · shares: Represents performance stock units granted on Feb 19, 2020 and repriced on Feb 8, 2021. Fifty percent (50%) were issued on Feb 23, 2021. The remaining shares earned in connection with the Feb 2020 grant will be eligible to vest and be issued as follows: 25% on 02/19/2022, and 25% on 02/19/2023, assuming continued employment on the relevant vesting date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:30 UTC
Simpson Michael SSVP, Regulatory Affairs and QA
GrantStock Options (Right to Buy) · Derivative 15,118 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000033 · certent-form4.xml · derivative · entry 2

Simpson Michael S · CIK 0001760902 · SVP, Regulatory Affairs and QA

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,118

Underlying: Common Stock · 15,118 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:30 UTC
Simpson Michael SSVP, Regulatory Affairs and QA
GrantCommon Stock 5,355 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000033 · certent-form4.xml · nonDerivative · entry 1

Simpson Michael S · CIK 0001760902 · SVP, Regulatory Affairs and QA

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,821

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:28 UTC
Maier Dennis BVice President, Operations
GrantStock Options (Right to Buy) · Derivative 11,017 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000031 · certent-form4.xml · derivative · entry 6

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,017

Underlying: Common Stock · 11,017 shares

Expires 2028-02-17

F5 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:28 UTC
Maier Dennis BVice President, Operations
Exercise / conversionStock Options (Right to Buy) · Derivative 6,630 $21.55 Strike: $21.55 $142,876.50
Disclosure

SEC source: 0000784199-21-000031 · certent-form4.xml · derivative · entry 5

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,630 shares

Expires 2025-03-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 3/12/2019

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:28 UTC
Maier Dennis BVice President, Operations
GrantCommon Stock 3,902 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000031 · certent-form4.xml · nonDerivative · entry 4

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,916

F3 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:28 UTC
Maier Dennis BVice President, Operations
SaleCommon Stock 567 $24.64 $13,972.92
Disclosure

SEC source: 0000784199-21-000031 · certent-form4.xml · nonDerivative · entry 3

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,014

F2 · price: Reflects the price of $24.6436 the shares were sold. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at this price

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:28 UTC
Maier Dennis BVice President, Operations
SaleCommon Stock 6,630 $24.73 $163,983.11
Disclosure

SEC source: 0000784199-21-000031 · certent-form4.xml · nonDerivative · entry 2

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,581

F1 · price: Reflects the price of $24.7335 the shares were sold. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at this price

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:28 UTC
Maier Dennis BVice President, Operations
Exercise / conversionCommon Stock 6,630 $21.55 $142,876.50
Disclosure

SEC source: 0000784199-21-000031 · certent-form4.xml · nonDerivative · entry 1

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,211

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:26 UTC
Mackin James PPresident & CEO
GrantStock Options (Right to Buy) · Derivative 93,519 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000029 · certent-form4.xml · derivative · entry 2

Mackin James P · CIK 0001408470 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,519

Underlying: Common Stock · 93,519 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:26 UTC
Mackin James PPresident & CEO
GrantCommon Stock 33,125 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000029 · certent-form4.xml · nonDerivative · entry 1

Mackin James P · CIK 0001408470 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,399

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:23 UTC
LEE DAVID ASHLEYExecutive VP, COO & CFO
GrantStock Options (Right to Buy) · Derivative 22,025 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000027 · certent-form4.xml · derivative · entry 3

LEE DAVID ASHLEY · CIK 0001112830 · Executive VP, COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,025

Underlying: Common Stock · 22,025 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:23 UTC
LEE DAVID ASHLEYExecutive VP, COO & CFO
GrantCommon Stock 7,801 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000027 · certent-form4.xml · nonDerivative · entry 1

LEE DAVID ASHLEY · CIK 0001112830 · Executive VP, COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,368

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:22 UTC
Horton AmyVP, Chief Accounting Officer
GrantStock Options (Right to Buy) · Derivative 10,516 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000025 · certent-form4.xml · derivative · entry 2

Horton Amy · CIK 0001371523 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:22 UTC
Horton AmyVP, Chief Accounting Officer
GrantCommon Stock 3,725 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000025 · certent-form4.xml · nonDerivative · entry 1

Horton Amy · CIK 0001371523 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,992

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:21 UTC
Holloway Jean FVP, General Counsel
GrantStock Options (Right to Buy) · Derivative 19,247 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000023 · certent-form4.xml · derivative · entry 3

Holloway Jean F · CIK 0001540065 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,247

Underlying: Common Stock · 19,247 shares

Expires 2028-02-17

F3 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:21 UTC
Holloway Jean FVP, General Counsel
GrantCommon Stock 6,817 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000023 · certent-form4.xml · nonDerivative · entry 2

Holloway Jean F · CIK 0001540065 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,305

F2 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:21 UTC
Holloway Jean FVP, General Counsel
GrantCommon Stock 14,485 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000023 · certent-form4.xml · nonDerivative · entry 1

Holloway Jean F · CIK 0001540065 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,488

F1 · shares: Represents share of restricted stock that vest 33 1/3 per year beginning on the first anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:20 UTC
Getz Matthew AVP, Human Resources
GrantStock Options (Right to Buy) · Derivative 10,516 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000021 · certent-form4.xml · derivative · entry 2

Getz Matthew A · CIK 0001784253 · VP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:20 UTC
Getz Matthew AVP, Human Resources
GrantCommon Stock 3,725 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000021 · certent-form4.xml · nonDerivative · entry 1

Getz Matthew A · CIK 0001784253 · VP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,901

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:18 UTC
Davis John ESenior VP, Global Sales
GrantStock Options (Right to Buy) · Derivative 17,008 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000019 · certent-form4.xml · derivative · entry 2

Davis John E · CIK 0001653206 · Senior VP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,008

Underlying: Common Stock · 17,008 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:18 UTC
Davis John ESenior VP, Global Sales
GrantCommon Stock 6,024 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000019 · certent-form4.xml · nonDerivative · entry 1

Davis John E · CIK 0001653206 · Senior VP, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,397

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:15 UTC
Capps Scott BVP, Clinical Research
GrantStock Options (Right to Buy) · Derivative 10,016 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000017 · certent-form4.xml · derivative · entry 2

Capps Scott B · CIK 0001409753 · VP, Clinical Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,016

Underlying: Common Stock · 10,016 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:15 UTC
Capps Scott BVP, Clinical Research
GrantCommon Stock 3,548 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000017 · certent-form4.xml · nonDerivative · entry 1

Capps Scott B · CIK 0001409753 · VP, Clinical Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,188

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:12 UTC
Barthold Franz PeterVP, Research & Development
GrantStock Options (Right to Buy) · Derivative 10,016 $0.00 Strike: $24.90 $0.00
Disclosure

SEC source: 0000784199-21-000015 · certent-form4.xml · derivative · entry 2

Barthold Franz Peter · CIK 0001806854 · VP, Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,016

Underlying: Common Stock · 10,016 shares

Expires 2028-02-17

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2021 Filed Feb 19, 2021 21:12 UTC
Barthold Franz PeterVP, Research & Development
GrantCommon Stock 3,548 $0.00 $0.00
Disclosure

SEC source: 0000784199-21-000015 · certent-form4.xml · nonDerivative · entry 1

Barthold Franz Peter · CIK 0001806854 · VP, Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,828

F1 · shares: Represents shares of restricted stock that vest on the third anniversary of the grant date if the reporting person remains in the continuous employ of the Company.

Read SEC document
December 31, 2020 Filed Jan 11, 2021 21:50 UTC
Maier Dennis BVice President, Operations
Exercise / conversionESPP · Derivative 170 $16.18 Strike: $16.18 $2,749.84
Disclosure

SEC source: 0000784199-21-000006 · certent-form5.xml · derivative · entry 6

Maier Dennis B · CIK 0001742150 · Vice President, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 170 shares

Expires 2020-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 31, 2020 Filed Jan 11, 2021 21:47 UTC
Holloway Jean FVP, General Counsel
Exercise / conversionESPP · Derivative 189 $16.18 Strike: $16.18 $3,057.17
Disclosure

SEC source: 0000784199-21-000004 · certent-form5.xml · derivative · entry 6

Holloway Jean F · CIK 0001540065 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 189 shares

Expires 2020-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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December 15, 2020 Filed Dec 16, 2020 21:27 UTC
Capps Scott BVP, Clinical Research
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $9.97 Strike: $9.97 $99,700.00
Disclosure

SEC source: 0000784199-20-000224 · certent-form4.xml · derivative · entry 3

Capps Scott B · CIK 0001409753 · VP, Clinical Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2021-02-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/26/2015

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December 15, 2020 Filed Dec 16, 2020 21:27 UTC
Capps Scott BVP, Clinical Research
SaleCommon Stock 8,366 $21.34 $178,553.03
Disclosure

SEC source: 0000784199-20-000224 · certent-form4.xml · nonDerivative · entry 2

Capps Scott B · CIK 0001409753 · VP, Clinical Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,640

F1 · price: Reflects weighted average price. Range was from $21.25 to $21.45. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.

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December 15, 2020 Filed Dec 16, 2020 21:27 UTC
Capps Scott BVP, Clinical Research
Exercise / conversionCommon Stock 10,000 $9.97 $99,700.00
Disclosure

SEC source: 0000784199-20-000224 · certent-form4.xml · nonDerivative · entry 1

Capps Scott B · CIK 0001409753 · VP, Clinical Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,006

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 15, 2020 Filed Dec 16, 2020 21:25 UTC GiftCommon Stock 2,080 $0.00 $0.00
Disclosure

SEC source: 0000784199-20-000222 · certent-form4.xml · nonDerivative · entry 2

MORGAN HARVEY · CIK 0001137972 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares owned indirectly by Spouse in a Revocable Trust

Disclosed balance after: 42,697

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December 15, 2020 Filed Dec 16, 2020 21:25 UTC GiftCommon Stock 2,080 $0.00 $0.00
Disclosure

SEC source: 0000784199-20-000222 · certent-form4.xml · nonDerivative · entry 1

MORGAN HARVEY · CIK 0001137972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,990

F1 · shares: 2,080 shares were gifted by the reporting person to a trust for the benefit of his spouse for no consideration.

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December 14, 2020 Filed Dec 15, 2020 21:38 UTC SaleCommon Stock 4,638 $21.79 $101,068.51
Disclosure

SEC source: 0000784199-20-000218 · certent-form4.xml · nonDerivative · entry 1

McCall Ronald D · CIK 0001016766 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,795

F1 · price: Reflects weighted average price. Range of prices were between $21.55 to $21.96. The reporting person will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.