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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 93.32 | (1) | 07/31/2021 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Option (Right to Buy) | $ 93.32 | 02/01/2017 | D | 33,333 | (2) | 07/31/2021 | Common Stock | 33,333 | $ 0 | 16,667 | D | ||||
Stock Option (Right to Buy) | $ 90.25 | (3) | 11/30/2021 | Common Stock | 5,000 | 5,000 | D | ||||||||
Restricted Stock Units | (6) | 02/01/2017 | M | 1,667 | (4) | (4) | Common Stock | 1,667 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 108.49 | (5) | 08/07/2022 | Common Stock | 12,500 | 12,500 | D | ||||||||
Stock Option (Right to Buy) | $ 108.49 | (7) | 08/07/2022 | Common Stock | 9,375 | 9,375 | D | ||||||||
Restricted Stock Units | (6) | (7) | (7) | Common Stock | 1,500 | 1,500 | D | ||||||||
Stock Option (Right to Buy) | $ 106.59 | 08/18/2016 | A | 17,371 | (8) | 08/18/2023 | Common Stock | 17,371 | $ 0 | 17,371 | D | ||||
Stock Option (Right to Buy) | $ 106.59 | 08/18/2016 | A | 13,028 | (9) | 08/18/2023 | Common Stock | 13,028 | $ 0 | 13,028 | D | ||||
Restricted Stock Units | (6) | 08/18/2016 | A | 2,111 | (9) | (9) | Common Stock | 2,111 | $ 0 | 2,111 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gavin Robert M. 614 MCKINLEY PLACE NE MINNEAPOLIS, MN 55413 |
Senior V.P. Protein Platforms |
/s/ Elizabeth M. Dunshee as Attorney-in-Fact for Robert M. Gavin pursuant to Power of Attorney previously filed. | 02/03/2017 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | 2,500 shares vest on each of 7/31/15, 7/31/16, 7/31/17 and 7/31/18. |
(2) | On 2/1/17, the Board of Directors authorized discretionary vesting for 16,667 performance options. The remainder of the performance options were forfeited. |
(3) | 1,500 shares vest on each of 12/1/15, 12/1/16, 12/1/17 and 12/1/18. |
(4) | On 2/1/17, the Board of Directors authorized discretionary vesting for 1,667 performance RSUs. The remainder of the performance RSUs were foreited. |
(5) | 3,125 shares vest on each of 8/7/16, 8/7/17, 8/7/18 and 8/7/19. |
(6) | Each restricted stock unit represents a contingent right to receive one shares of Bio-Techne common stock. |
(7) | Vests in full or in part on 8/7/18 if certain performance goals are achieved (or such later date as performance is certified by the Administrator). |
(8) | Vests 4,343 shares on each of 8/18/17, 8/18/18 and 8/18/19, and 4,342 shares on 8/18/20. |
(9) | Vests in full or in part on 8/18/19 if certain performance goals are achieved (or such later date as performance is certified by the Administrator). |