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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 | (1) | 10/31/2016 | A | V | 34,208 | (1) | (1) | Common Stock | 34,208 | $ 0 | 34,208 | D | |||
Restricted Stock Units | (2) | 10/31/2016 | A | V | 1,618 | (2) | (2) | Common Stock | 1,618 | $ 0 | 1,618 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PARKS FRED B C/O ANALOGIC CORPORATION 8 CENTENNIAL DRIVE PEABODY, MA 01960 |
X | President/CEO/Director |
/s/ John J. Fry, by Power of Attorney For Fred B. Parks | 11/02/2016 | |
**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) | Represents Restricted Stock Units ("RSUs"), 50% of which will vest based on the achievement of performance goals with respect to the issuer's 2017 fiscal year and 50% of which will vest based on the achievement of performance goals with respect to the issuer's 2018 fiscal year, provided that, if the goals in 2017 are not achieved, the subject RSUs will remain outstanding and will vest to the extent that the 2018 goals are achieved. Following the end of the issuer's 2017 and 2018 fiscal years, if the applicable goals have been met, the RSUs earned will be converted to common stock and a like number of shares will be issued to the grantee. |
(2) | Represents RSUs, 100% of which will vest on April 30, 2017, subject to the grantee's continued employment through that date. On that date, the RSUs will be converted to common stock and a like number of shares will be issued to the grantee. |