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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Restricted Stock Units | (3) | 08/07/2018 | M | 13,816 | (4) | (4) | Common Stock | 13,816 | $ 0 | 3,467 | D | ||||
Restricted Stock Units | (3) | 08/07/2018 | D | 3,467 | (4) | (4) | Common Stock | 3,467 | $ 0 | 0 | D | ||||
Stock Options (Right to buy) | $ 108.49 | 08/07/2018 | D | 23,929 | (5) | 08/07/2022 | Common Stock | 23,929 | $ 0 | 95,346 | D | ||||
Restricted Stock Units | (3) | 08/08/2018 | A | 16,918 | (6) | (6) | Common Stock | 16,918 | $ 0 | 16,918 | D | ||||
Stock Options (Right to buy) | $ 177.32 | 08/08/2018 | A | 60,222 | (7) | 08/08/2025 | Common Stock | 60,222 | $ 0 | 60,222 | D | ||||
Stock Options (Right to buy) | $ 177.32 | 08/08/2018 | A | 90,334 | (6) | 08/08/2025 | Common Stock | 90,334 | $ 0 | 90,334 | D | ||||
Restricted Stock Units | (3) | (8) | (8) | Common Stock | 24,979 | 24,979 | D | ||||||||
Restricted Stock Units | (3) | (9) | (9) | Common Stock | 21,291 | 21,291 | D | ||||||||
Stock Option (Right to Buy) | $ 108.49 | (10) | 08/07/2022 | Common Stock | 79,517 | 79,517 | D | ||||||||
Stock Option (Right to Buy) | $ 106.59 | (11) | 08/18/2023 | Common Stock | 102,779 | 102,779 | D | ||||||||
Stock Option (Right to Buy) | $ 106.59 | (8) | 08/18/2023 | Common Stock | 154,169 | 154,169 | D | ||||||||
Stock Option (Right to Buy) | $ 86.25 | (12) | 04/01/2021 | Common Stock | 46,316 | 46,316 | D | ||||||||
Stock Option (Right to Buy) | $ 67.46 | (12) | 04/01/2020 | Common Stock | 65,000 | 65,000 | D | ||||||||
Stock Option (Right to Buy) | $ 67.46 | (12) | 04/01/2020 | Common Stock | 50,000 | 50,000 | D | ||||||||
Stock Options (Right to buy) | $ 125.05 | (9) | 08/09/2024 | Common Stock | 117,342 | 117,342 | D | ||||||||
Stock Options (Right to buy) | $ 125.05 | (13) | 08/09/2024 | Common Stock | 78,228 | 78,228 | D | ||||||||
Stock Options (Right to buy) | $ 94.35 | (12) | 08/12/2021 | Common Stock | 66,849 | 66,849 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kummeth Charles R. 425 MARTINGALE ROAD SUITE 2050 SCHAUMBURG, IL 60173-2213 |
Chief Executive Officer |
/s/ Brenda S. Furlow, attorney in fact for Charles R. Kummeth pursuant to Power of Attorney previously filed | 08/09/2018 | |
**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) | Restrictions lapse as to 3,760 shares on 8/8/19 and 8/8/20 and as to 3,759 shares on 8/8/21 |
(2) | Includes (i) 11,102 shares of restricted stock for which the risks of forfeiture will lapse with respect to 5,551 shares on each of August 18, 2018 and August 18, 2019; (ii) 14,194 shares of restricted stock for which the risks of forfeiture will lapse with respect to 4,731 shares on each of August 9, 2018 and August 9, 2019 and as to 4,732 shares on August 9, 2020; and (iii) 11,279 shares of restricted stock for which the risk of forfeiture will lapse as to 3,760 shares on August 8, 2019 and August 8, 2010 and as to 3,759 shares on August 8, 2021. |
(3) | Each restricted stock unit represents a contingent right to receive one share of Bio-Techne common stock. |
(4) | On 8/7/2018, the Board of Directors authorized discretionary vesting for 13,816 performance RSUs. The remainder of the performance RSUs were forfeited. |
(5) | On 8/7/2018, the Board of Directors authorized discretionary vesting for 95,346 performance options. The remainder of the performance options were forfeited. |
(6) | Vests in full or in part on 8/8/2021 if certain performance goals are achieved (or such later date as performance is certified by the Administrator). |
(7) | Vests 15,056 shares each on 8/8/2019, 8/8/2020, and 15,055 shares each on 8/8/2021, 8/8/2022. |
(8) | 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). |
(9) | Vests in full or in part on 8/9/2020 if certain performance goals are achieved (or such later date as performance is certified by the Administrator). |
(10) | 19,879 shares vest on each of August 7, 2016, August 7, 2017 and August 7, 2018 and 19,880 shares vest on August 7, 2019. |
(11) | Vests 25,695 shares on each of 8/18/17, 8/18/18, and 8/18/19 and 25,694 shares on 8/18/20. |
(12) | Fully exercisable |
(13) | Vests 19,557 each on 8/9/2018, 8/9/2019, 8/9/2020, 8/9/2021 |