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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) | 08/07/2018 | M | 2,398 | (2) | (2) | Common Stock | 2,398 | $ 0 | 602 | D | ||||
Restricted Stock Units | (1) | 08/07/2018 | D | 602 | (2) | (2) | Common Stock | 602 | $ 0 | 0 | D | ||||
Stock Options (Right to buy) | $ 108.49 | 08/07/2018 | D | 3,762 | (3) | 08/07/2022 | Common Stock | 3,762 | $ 0 | 14,988 | D | ||||
Restricted Stock Units | (1) | 08/08/2018 | A | 3,383 | (4) | (4) | Common Stock | 3,383 | $ 0 | 3,383 | D | ||||
Stock Options (Right to buy) | $ 177.32 | 08/08/2018 | A | 24,089 | (5) | 08/08/2025 | Common Stock | 24,089 | $ 0 | 24,089 | D | ||||
Stock Options (Right to buy) | $ 177.32 | 08/08/2018 | A | 18,066 | (4) | 08/08/2025 | Common Stock | 18,066 | $ 0 | 18,066 | D | ||||
Restricted Stock Units | (1) | (6) | (6) | Common Stock | 4,438 | 4,438 | D | ||||||||
Restricted Stock Units | (7) | (8) | (8) | Common Stock | 4,925 | 4,925 | D | ||||||||
Stock Option (Right to Buy) | $ 106.59 | (9) | 08/18/2023 | Common Stock | 30,400 | 30,400 | D | ||||||||
Stock Option (Right to Buy) | $ 94.35 | (10) | 08/12/2021 | Common Stock | 35,000 | 35,000 | D | ||||||||
Stock Option (Right to Buy) | $ 86.25 | (11) | 04/01/2021 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Options (Right to buy) | $ 125.05 | (6) | 08/09/2024 | Common Stock | 24,460 | 24,460 | D | ||||||||
Stock Options (Right to buy) | $ 125.05 | (12) | 08/09/2024 | Common Stock | 32,613 | 32,613 | D | ||||||||
Stock Options (Right to buy) | $ 108.49 | (13) | 08/07/2022 | Common Stock | 25,000 | 25,000 | D | ||||||||
Stock Options (Right to buy) | $ 106.59 | (14) | 08/18/2023 | Common Stock | 40,533 | 40,533 | D | ||||||||
Stock Options (Right to buy) | $ 86.25 | (11) | 04/01/2021 | Common Stock | 25,000 | 25,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hippel James 614 MCKINLEY PLACE N.E. MINNEAPOLIS, MN 55413 |
Chief Financial Officer |
/s/ Brenda S. Furlow, attorney in fact for James Hippel pursuant to Power of Attorney previously filed | 08/09/2018 | |
**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) | Each restricted stock unit represents a contingent right to receive one share of Bio-Techne common stock. |
(2) | On 8/7/2018, the Board of Directors authorized discretionary vesting for 2,398 performance RSUs. The remainder of the performance RSUs were forfeited. |
(3) | On 8/7/2018, the Board of Directors authorized discretionary vesting for 14,988 performance options. The remainder of the performance options were forfeited. |
(4) | Vests in full or in part on 8/8/2021 if certain performance goals are achieved (or such later date as performance is certified by the Administrator). |
(5) | Vests 6,023 shares on 8/8/2019, 6,022 shares on each 8/8/2020, 8/8/2021, 8/8/2022 |
(6) | Vests in full or in part on 8/9/2020 if certain performance goals are achieved (or such later date as performance is certified by the Administrator). |
(7) | Each restricted stock unit represents a contingent right to receive one share of Bio-Techne Corporation common stock. |
(8) | Vests in full or in part on 8/18/19 if certain performance goals are achieved (or such later date as performance is certified by the Administrator) |
(9) | Vests in full or in part on 8/18/19 if certain performance goals are achieved (or such later date as performance is certified by the Administrator). |
(10) | 8,750 shares vest on each of 8/12/15, 8/12/16, 8/12/17 and 8/12/18. |
(11) | Fully exercisable |
(12) | Vests 8,153 shares each on 8/19/2018, 8/9/2019, 8/9/2020 and 8,154 on 8/9/2021 |
(13) | 6,250 shares vest on each of 8/7/16, 8/7/17, 8/7/18 and 8/7/19. |
(14) | Vests 10,134 shares on 8/18/17, and 10,133 shares on each of 8/18/18, 8/18/19 and 8/18/20. |
Remarks: Amount of Securities Beneficially Owned Following Reported Transaction was overstated by 1 share on previous filed Form 4 |