SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Rudelius Robert James – ‘4/A’ for 6/1/20 re: Axogen, Inc.

On:  Friday, 6/12/20, at 4:24pm ET   ·   For:  6/1/20   ·   Accession #:  1179110-20-7285   ·   File #:  1-36046

Previous ‘4’:  ‘4’ on 6/3/20 for 6/1/20   ·   Next:  ‘4’ on 9/8/20 for 9/3/20   ·   Latest:  ‘4’ on 1/2/24 for 12/29/23

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 6/12/20  Rudelius Robert James             4/A                    1:7K   Axogen, Inc.                      Section16 Direct/FA

Amendment to Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4/A         Amendment to Statement of Changes in Beneficial     HTML      3K 
                Ownership of Securities by an Insider --                         
                edgar.xml/3.6                                                    




        

This ‘4/A’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Amendment to Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Rudelius Robert James

(Last)(First)(Middle)
13631 PROGRESS BOULEVARD
SUITE 400

(Street)
ALACHUAFL32615

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Axogen, Inc. [ AXGN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
6/1/20
4. If Amendment, Date of Original Filed (Month/Day/Year)
6/3/20
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (right to purchase)$9.72 6/1/20 A 12,605 (3) (1) 6/1/30Common Stock12,605 (3)$012,605 (3)D
Restricted Stock Units (2) 6/1/20 A 6,173 (3) (1) (1)Common Stock6,173 (3)$06,173 (3)D
Explanation of Responses:
(1)  Annual equity grant for service as Director on the Axogen, Inc. Board of Directors. The number of shares pursuant to the equity grant is based on a $120,000 valuation as of the grant date and vests on June 1, 2021, one year from the anniversary of the grant date. One-half of the annual equity grant value is in the form of non-qualified stock options and One-half of the annual equity grant value is in the form of restricted stock units.
(2)  Each restricted stock unit represents a contingent right to receive one share of Axogen, Inc. common stock.
(3)  The original Form 4, filed June 3, 2020, incorrectly stated the number of derivative securities (Column 5), the number of shares (Column 7) and number of derivatives securities beneficially owned following reported transaction (Column 9) for both the Stock Options and Restricted Stock Units. Footnote 1 has also been amended to reflect the accurate number of stock options and restricted stock units.
/s/Robert Rudelius 6/12/20
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    A    Grant, award or other acquisition pursuant to Rule 16b-3(d).

Top
Filing Submission 0001179110-20-007285   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., Mar. 29, 6:00:41.1am ET