Statement of Changes in Beneficial Ownership (4)
April 22 2020 - 06:08PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * DAWES KAREN A |
2. Issuer Name and Ticker or Trading
Symbol REPLIGEN CORP [ RGEN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
C/O REPLIGEN CORPORATION, 41 SEYON ST., BLDG 1, STE
100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
4/20/2020
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(Street)
WALTHAM, MA 02453
(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
|
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 |
4/20/2020 |
|
M |
|
8200 |
A |
$3.30 |
121234 |
D |
|
Common Stock |
4/20/2020 |
|
S(1) |
|
3202 |
D |
$104.98 (2) |
118032 |
D |
|
Common Stock |
4/20/2020 |
|
S(1) |
|
8998 |
D |
$104.42 (3) |
109034 |
D |
|
Common Stock |
4/21/2020 |
|
M |
|
11800 |
A |
$3.30 |
120834 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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) |
$3.30 |
4/20/2020 |
|
M |
|
|
8200 |
(4) |
9/16/2020 |
Common Stock |
8200 |
$0.00 |
11800 |
D |
|
Stock Option (Right to Buy) |
$3.30 |
4/21/2020 |
|
M |
|
|
11800 |
(4) |
9/16/2020 |
Common Stock |
11800 |
$0.00 |
0 |
D |
|
Explanation of
Responses: |
(1) |
Sale of common stock was
effected pursuant to a 10(b)5-1 trading plan adopted on February
19, 2020. |
(2) |
$104.98 is a weighted
average price. These shares were sold in multiple transactions at
prices ranging from $104.73 to $105.39, inclusive. The reporting
person undertakes to provide to the Issuer, any security holder of
the Issuer, or the staff of the Securities and Exchange Commission,
upon request, full information regarding the number of shares sold
at each separate price within the range. |
(3) |
$104.42 is a weighted
average price. These shares were sold in multiple transactions at
prices ranging from $103.72 to $104.70, inclusive. The reporting
person undertakes to provide to the Issuer, any security holder of
the Issuer, or the staff of the Securities and Exchange Commission,
upon request, full information regarding the number of shares sold
at each separate price within the range. |
(4) |
This option is currently
exercisable |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
DAWES KAREN A
C/O REPLIGEN CORPORATION
41 SEYON ST., BLDG 1, STE 100
WALTHAM, MA 02453 |
X |
|
|
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Signatures
|
/s/ Jeffrey P. Leduc (Attorney in
Fact) |
|
4/22/2020 |
**Signature of Reporting
Person |
Date |