UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock option - right to buy | Â (2) | 08/07/2025 | Common Stock | 12,000 | $ 19.82 | D | Â |
Stock option - right to buy | Â (3) | 10/04/2026 | Common Stock | 7,097 | $ 22.19 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Busse Falko 40 MANNING ROAD BILLERICA, MA 01821 |
 |  |  President, BioSpin Group |  |
/s/ Michael Rich, Attorney-in-Fact | 05/10/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The total shares reported include (a) 557 shares of common stock; (b) 1,672 shares that are represented by restricted stock units which vest in three approximately equal annual installments on each of 10/4/2018, 10/4/2019 and 10/4/2020; and (c) 5,010 shares that are represented by restricted stock units which vest in four approximately equal annual installments on each of 8/10/2018, 8/10/2019, 8/10/2020 and 8/10/2021. |
(2) | The option award became exercisable as to 3,012 shares on each of 8/7/2016 and 8/7/2017, of which options to purchase 5,975 shares are outstanding and exercisable as of 5/1/2018. The remaining options vest in two approximately equal installments on each of 8/7/2018 and 8/7/2019. |
(3) | Options to purchase 1,774 shares vested on 10/4/2017 and are currently exercisable. The remaining options vest in three approximately equal installments on each of 10/4/2018, 10/4/2019 and 10/4/2020. |