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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 | ||||||||
Stock Option (Right to Buy) | $ 26.2 | 11/26/2018 | M | 11,445 | (3) | 02/26/2025 | Common Stock | 11,445 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 24.5 | 11/26/2018 | M | 4,000 | (4) | 07/14/2024 | Common Stock | 4,000 | $ 0 | 2,000 | D | ||||
Stock Option (Right to Buy) | $ 32.4 | 11/26/2018 | M | 6,055 | (5) | 02/23/2027 | Common Stock | 6,055 | $ 0 | 12,110 | D | ||||
Stock Option (Right to Buy) | $ 26.05 | 11/26/2018 | M | 10,253 | (6) | 02/26/2026 | Common Stock | 10,253 | $ 0 | 5,127 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Snodgres Jon C/O REPLIGEN CORPORATION 41 SEYON ST., BLDG 1, STE 100 WALTHAM, MA 02453 |
CFO |
/s/ Jeffrey P. Leduc (Attorney in Fact) | 11/28/2018 | |
**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) | Sale of common stock was effective pursuant to a 10(b)5-1 trading plan adopted on September 19, 2018. |
(2) | $63.4874 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.18 to $64.71, 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) | This option is currently exercisable. |
(4) | 2,000 shares vest and become exercisable on each of the following dates: 7/14/2015, 7/14/2016, 7/14/2017, 7/14/2018 and 7/14/2019. |
(5) | 6,055 shares vest and become exercisable on each of the following dates: 2/23/2018, 2/23/2019 and 2/23/2020. |
(6) | Shares vest and become exercisable as follows: 5,126 shares on 2/26/2017, 5,127 shares on 2/26/2018 and 5,127 shares on 2/26/2019. |