03/21/2025 | Press release | Distributed by Public on 03/21/2025 07:31
FORM 4
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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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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 | $7.13 | 03/05/2025 | M(2) | 233,000 | (3) | 03/20/2025 | Common Stock | 233,000 | $ 0 | 0 | D |
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 |
/s/ Wayne Paterson | 03/21/2025 | |
**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) | 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. |