0001144204-13-053863.txt : 20131003 0001144204-13-053863.hdr.sgml : 20131003 20131003165716 ACCESSION NUMBER: 0001144204-13-053863 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131003 DATE AS OF CHANGE: 20131003 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRANSGENOMIC INC CENTRAL INDEX KEY: 0001043961 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 911789357 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12325 EMMET ST CITY: OMAHA STATE: NE ZIP: 68164 BUSINESS PHONE: 4027385480 MAIL ADDRESS: STREET 1: 12325 EMMET STREET CITY: OMAHA STATE: NE ZIP: 68164 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLONNESE MARK P CENTRAL INDEX KEY: 0001040766 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30975 FILM NUMBER: 131134405 MAIL ADDRESS: STREET 1: 8995 WESTSIDE PARKWAY CITY: ALPHARETTA STATE: GA ZIP: 30004 4 1 v356700_4.xml OWNERSHIP DOCUMENT X0306 4 2013-09-30 0 0001043961 TRANSGENOMIC INC TBIO 0001040766 COLONNESE MARK P C/O TRANSGENOMIC, INC., 12325 EMMET STREET OMAHA NE 68164 0 1 0 0 Chief Financial Officer Stock Appreciation Rights 0.36 2013-09-30 4 A 0 690000 0 A 2014-09-30 2023-09-30 Common Stock 690000 690000 D The stock appreciation rights were granted on 9/30/2013 and are exercisable as they vest. The stock appreciation rights vest over a three-year period, with 34% of the shares subject to the stock appreciation rights vesting on the first anniversary of the grant date and the balance vesting in 24 equal consecutive monthly installments thereafter, subject to the reporting person's continued employment with the issuer on each such date. /s/ Mark P. Colonnese 2013-10-03