Statement of Changes in Beneficial Ownership (4)
December 22 2020 - 03:23PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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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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1. Name
and Address of Reporting Person * DeVinney Erick
Wayne |
2. Issuer Name and Ticker or Trading
Symbol Axogen, Inc. [ AXGN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
VP, Clinical&Translational Sc |
(Last)
(First)
(Middle)
13631 PROGRESS BOULEVARD, SUITE 400 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/18/2020
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(Street)
ALACHUA, FL 32615
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
12/18/2020 |
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A |
|
575 (1) |
A |
(1) |
62258 |
D |
|
Common Stock |
12/21/2020 |
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S |
|
147 (2) |
D |
$16.42 |
62111 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
This reflects the number of
restricted stock units that became vested as of December 18,
2020. |
(2) |
Represents the number of
shares required to be sold by the reporting person to cover tax
withholding obligations in connection with the vesting of
restricted stock units granted on December 18, 2020. This sale is
mandated by the Issuer's election under its equity incentive plans
to require the satisfaction of tax withholding obligations to be
funded by a "sell to cover" transaction and does not represent a
discretionary trade by the reporting person. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
DeVinney Erick Wayne
13631 PROGRESS BOULEVARD
SUITE 400
ALACHUA, FL 32615 |
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|
VP, Clinical&Translational Sc |
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Signatures
|
/s/Erick DeVinney |
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12/22/2020 |
**Signature of Reporting
Person |
Date |