Anteris Technologies Global Corp.

03/21/2025 | Press release | Distributed by Public on 03/21/2025 07:31

Amendment to Statement of Changes in Beneficial Ownership (Form 4/A)

FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Paterson Wayne
2. Issuer Name and Ticker or Trading Symbol
Anteris Technologies Global Corp. [AVR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
TOOWONG TOWER, LEVEL 3, SUITE 302, 9 SHERWOOD ROAD
3. Date of Earliest Transaction (Month/Day/Year)
03/05/2025
(Street)
TOOWONG, C3 QLD 4066
4. If Amendment, Date Original Filed (Month/Day/Year)
03/20/2025
6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/05/2025 M 233,000 A $7.13(2) 233,000 I See Footnote(1)
Common Stock 03/05/2025 F 220,393 D $7.98 12,607 I See Footnote(1)
Common Stock 20,334 D
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option $7.13 03/05/2025 M(2) 233,000 (3) 03/20/2025 Common Stock 233,000 $ 0 0 D

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Paterson Wayne
TOOWONG TOWER, LEVEL 3, SUITE 302
9 SHERWOOD ROAD
TOOWONG, C3 QLD 4066
X Chief Executive Officer

Signatures

/s/ Wayne Paterson 03/21/2025
**Signature of Reporting Person Date

Explanation of Responses:

* 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) Held by Citibank, N.A. London as custodian for Mr. Paterson.
(2) A total of 220,393 options were exercised and settled in cash, with the net cash equivalent (after taxes, withholdings, and the exercise price) used to cover the exercise of an additional 12,607 options. The issuance of Common Stock was finalized on March 20, 2025.
(3) The option vested in two equal installments on February 8, 2022 and June 24, 2022.

Remarks:
This amendment is being filed to clarify that the shares of common stock received upon exercise are subject to the restrictions in that certain Lock-Up Agreement executed by the reporting person on November 14, 2024 in connection with Anteris Technologies Global Corp.'s initial public offering.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
Anteris Technologies Global Corp. published this content on March 21, 2025, and is solely responsible for the information contained herein. Distributed via SEC EDGAR on March 21, 2025 at 13:31 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]