Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARTIVION, INC.CRY · Entity 4767 | VP, Research & Development | November 16, 2017 | November 17, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ARTIVION, INC.
Report date November 16, 2017 · Filed November 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 77,135 |
Ending reported balance
After 2017-11-16 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2017-11-16 · Exercise / conversion · Acquired 10,000 · Balance 87,135 F1: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/18/2013 Row 2 · 2017-11-16 · Sale · Disposed 10,000 · Balance 77,135 F2: Reflects weighted average price. Range was $19.625 for all shares. 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. Row 3 · 2017-11-16 · Exercise / conversion · Acquired 10,000 · Balance 87,135 F3: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/15/2014 Row 4 · 2017-11-16 · Sale · Disposed 10,000 · Balance 77,135 F2: Reflects weighted average price. Range was $19.625 for all shares. 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. |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.76 · Expires 2019-02-18 | Direct | 0 |
Reported balance
After 2017-11-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2017-11-16 · Exercise / conversion · Disposed 10,000 · Balance 0 F1: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/18/2013 |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.12 · Expires 2020-02-15 | Direct | 0 |
Reported balance
After 2017-11-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-11-16 · Exercise / conversion · Disposed 10,000 · Balance 0 F3: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/15/2014 |
Filing footnotes · ownership attribution and instrument terms
F1: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/18/2013
F2: Reflects weighted average price. Range was $19.625 for all shares. 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.
F3: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/15/2014
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 16, 2017 Filed Nov 17, 2017 21:17 UTC | ARTIVION, INC. CRY · Entity 4767 | Exercise / conversionStock Options (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $6.12 | $0.00 |
DisclosureSEC source: 0000784199-17-000103 · certent-form4.xml · derivative · entry 6 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2020-02-15 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. F3 · 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 2/15/2014 Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 21:17 UTC | ARTIVION, INC. CRY · Entity 4767 | Exercise / conversionStock Options (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $5.76 | $0.00 |
DisclosureSEC source: 0000784199-17-000103 · certent-form4.xml · derivative · entry 5 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2019-02-18 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. F1 · 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 2/18/2013 Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 21:17 UTC | ARTIVION, INC. CRY · Entity 4767 | SaleCommon Stock | 10,000 | $19.63 | $196,250.00 |
DisclosureSEC source: 0000784199-17-000103 · certent-form4.xml · nonDerivative · entry 4 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,135 F2 · price: Reflects weighted average price. Range was $19.625 for all shares. 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. Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 21:17 UTC | ARTIVION, INC. CRY · Entity 4767 | Exercise / conversionCommon Stock | 10,000 | $6.12 | $61,200.00 |
DisclosureSEC source: 0000784199-17-000103 · certent-form4.xml · nonDerivative · entry 3 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,135 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. F3 · shares: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/15/2014 Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 21:17 UTC | ARTIVION, INC. CRY · Entity 4767 | SaleCommon Stock | 10,000 | $19.63 | $196,250.00 |
DisclosureSEC source: 0000784199-17-000103 · certent-form4.xml · nonDerivative · entry 2 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,135 F2 · price: Reflects weighted average price. Range was $19.625 for all shares. 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. Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 21:17 UTC | ARTIVION, INC. CRY · Entity 4767 | Exercise / conversionCommon Stock | 10,000 | $5.76 | $57,600.00 |
DisclosureSEC source: 0000784199-17-000103 · certent-form4.xml · nonDerivative · entry 1 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,135 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. F1 · shares: Stock option vests 33 1/3% per year beginning on the first anniversary of the grant date. The first exercisable date was 2/18/2013 Read SEC document |
| February 26, 2017 Filed Feb 28, 2017 22:31 UTC | ARTIVION, INC. CRY · Entity 4767 | Tax withholdingCommon Stock | 417 | $17.25 | $7,193.25 |
DisclosureSEC source: 0000784199-17-000033 · certent-form4.xml · nonDerivative · entry 2 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,135 F2 · shares: These shares were withheld upon the vesting of performance stock units to pay tax withholding obligations. Read SEC document |
| February 26, 2017 Filed Feb 28, 2017 22:31 UTC | ARTIVION, INC. CRY · Entity 4767 | Tax withholdingCommon Stock | 3,335 | $17.25 | $57,528.75 |
DisclosureSEC source: 0000784199-17-000033 · certent-form4.xml · nonDerivative · entry 1 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,552 F1 · shares: These shares were withheld upon the vesting of restricted stock to pay tax withholding obligations. Read SEC document |
| February 21, 2017 Filed Feb 22, 2017 23:39 UTC | ARTIVION, INC. CRY · Entity 4767 | GrantCommon Stock | 3,778 | $0.00 | $0.00 |
DisclosureSEC source: 0000784199-17-000013 · certent-form4.xml · nonDerivative · entry 4 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,887 F3 · shares: Represents share 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 19, 2017 Filed Feb 22, 2017 23:39 UTC | ARTIVION, INC. CRY · Entity 4767 | Tax withholdingCommon Stock | 1,745 | $17.25 | $30,101.25 |
DisclosureSEC source: 0000784199-17-000013 · certent-form4.xml · nonDerivative · entry 3 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,109 F1 · shares: These shares were withheld upon the vesting of restricted stock to pay tax withholding obligations. Read SEC document |
| February 19, 2017 Filed Feb 22, 2017 23:39 UTC | ARTIVION, INC. CRY · Entity 4767 | GrantCommon Stock | 10,471 | $17.25 | $180,624.75 |
DisclosureSEC source: 0000784199-17-000013 · certent-form4.xml · nonDerivative · entry 2 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,854 F2 · shares: Represents performance stock units granted on February 19, 2016 and earned at approximately 142.2% of target based on 2016 adjusted EBITDA. Fifty percent (50%) were issued on February 19, 2017. The remaining shares earned in connection with the February 2016 grant will vest and be issued as follows: 50% on 02/19/2018, and 50% on 02/19/2019, assuming continued employment on the relevant vesting date. Read SEC document |
| February 19, 2017 Filed Feb 22, 2017 23:39 UTC | ARTIVION, INC. CRY · Entity 4767 | Tax withholdingCommon Stock | 777 | $17.25 | $13,403.25 |
DisclosureSEC source: 0000784199-17-000013 · certent-form4.xml · nonDerivative · entry 1 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,383 F1 · shares: These shares were withheld upon the vesting of restricted stock to pay tax withholding obligations. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 21:21 UTC | ARTIVION, INC. CRY · Entity 4767 | Exercise / conversionStock Option · Derivative | 3,000 | $0.00 Strike: $7.01 | $0.00 |
DisclosureSEC source: 0000784199-16-000289 · certent-form4.xml · derivative · entry 3 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires 2017-02-22 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. F3 · 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 2/22/2011 Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 21:21 UTC | ARTIVION, INC. CRY · Entity 4767 | Disposition to issuerCommon Stock | 3,000 | $17.49 | $52,458.60 |
DisclosureSEC source: 0000784199-16-000289 · certent-form4.xml · nonDerivative · entry 2 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,190 F2 · price: Reflects the price of $17.4862 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 |
| September 12, 2016 Filed Sep 14, 2016 21:21 UTC | ARTIVION, INC. CRY · Entity 4767 | Exercise / conversionCommon Stock | 3,000 | $7.01 | $21,030.00 |
DisclosureSEC source: 0000784199-16-000289 · certent-form4.xml · nonDerivative · entry 1 Gale David C · CIK 0001539068 · VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,190 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. F1 · balance_after: Balance reflects a 416 share correction that should have been added to the last total. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.