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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) | $ 13.39 | 02/14/2014 | A | 5,875 | 02/14/2014(1) | 02/14/2024 | Common Stock | 5,875 | $ 0 (2) | 0 | D | ||||
Stock Option (right to buy) | $ 8.83 | 02/12/2015 | A | 6,500 | 02/12/2015(1) | 02/12/2025 | Common Stock | 6,500 | $ 0 (2) | 0 | D | ||||
Stock Option (right to buy) | $ 3.3 | 03/02/2016 | A | 12,000 | 03/02/2016(1) | 03/02/2026 | Common Stock | 12,000 | $ 0 (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wolfenson Barry DERMA SCIENCES, INC. 214 CARNEGIE CENTER, SUITE 300 PRINCETON, NJ 08540 |
See Remarks |
/s/ Barry J. Wolfenson | 08/02/2016 | |
**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) | The options, granted pursuant to the issuer's equity incentive plan and which vested as to 25% on the grant date and as to an additional 25% for each of the following three years, vested on an accelerated basis. Any remaining equity awards previously reported that did not vest prior to July 31, 2016 were forfeited effective as of such date. |
(2) | The options were originally granted in consideration of the reporting person's past services to the issuer and without payment of cash consideration. |
Remarks: Former Group President, Advanced Wound Care |