Statement of Changes in Beneficial Ownership (4)
March 12 2021 - 4:36PM
Edgar (US Regulatory)
FORM 4
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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
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BALTHROP PATRICK J |
2. Issuer Name and Ticker or Trading Symbol
Oxford Immunotec Global PLC
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OXFD
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O OXFORD IMMUNOTEC GLOBAL PLC, 94C INNOVATION DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/8/2021 |
(Street)
ABINGDON, OXFORDSHIRE, X0 OX14 4RZ
(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
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares | 3/8/2021 | | D | | 8081 | D | $22 (1) | 0 | D | |
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 |
Stock Option (Right to Buy) | $11.62 | 3/8/2021 | | D | | | 3728 | (2) | 1/29/2026 | Ordinary Shares | 3728 | $10.38 (3) | 0 | D | |
Stock Option (Right to Buy) | $11.62 | 3/8/2021 | | D | | | 14914 | (2) | 1/29/2026 | Ordinary Shares | 14914 | $10.38 (3) | 0 | D | |
Stock Option (Right to Buy) | $8.65 | 3/8/2021 | | D | | | 7457 | (2) | 6/28/2026 | Ordinary Shares | 7457 | $13.35 (3) | 0 | D | |
Stock Option (Right to Buy) | $14.46 | 3/8/2021 | | D | | | 7457 | (2) | 6/6/2027 | Ordinary Shares | 7457 | $7.54 (3) | 0 | D | |
Stock Option (Right to Buy) | $14.49 | 3/8/2021 | | D | | | 7457 | (2) | 6/19/2028 | Ordinary Shares | 7457 | $7.51 (3) | 0 | D | |
Stock Option (Right to Buy) | $14.44 | 3/8/2021 | | D | | | 7457 | (2) | 6/18/2029 | Ordinary Shares | 7457 | $7.56 (3) | 0 | D | |
Stock Option (Right to Buy) | $12.96 | 3/8/2021 | | D | | | 9494 | (2) | 6/24/2030 | Ordinary Shares | 9494 | $9.04 (3) | 0 | D | |
Explanation of Responses: |
(1) | Disposed pursuant to the acquisition by PerkinElmer (UK) Holdings Limited of the entire issued share capital of Oxford Immunotec Global PLC on March 8, 2021 by means of a scheme of arrangement under Part 26 of the Companies Act 2006 (the "Scheme"). |
(2) | In connection with the Scheme, all stock options were cancelled in exchange for a payment equal to $22.00 with respect to each ordinary share subject to the option award, less the applicable exercise price. |
(3) | Represents the payment per ordinary share received in exchange for the cancellation of each option of $22.00, less the applicable exercise price. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BALTHROP PATRICK J C/O OXFORD IMMUNOTEC GLOBAL PLC 94C INNOVATION DRIVE ABINGDON, OXFORDSHIRE, X0 OX14 4RZ | X |
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Signatures
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/s/ Matthew T E McLaughlin, as Attorney-in-Fact for Patrick J. Balthrop, Sr. | | 3/12/2021 |
**Signature of Reporting Person | Date |
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