0001144204-14-065437.txt : 20141105 0001144204-14-065437.hdr.sgml : 20141105 20141105210721 ACCESSION NUMBER: 0001144204-14-065437 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141104 FILED AS OF DATE: 20141105 DATE AS OF CHANGE: 20141105 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: Richards Leon CENTRAL INDEX KEY: 0001317965 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36439 FILM NUMBER: 141198532 MAIL ADDRESS: STREET 1: C/O BALDWIN TECHNOLOGY COMPANY INC STREET 2: 12 COMMERCE DRIVE CITY: SHELTON STATE: CT ZIP: 06484 4 1 v393447_4.xml OWNERSHIP DOCUMENT X0306 4 2014-11-04 0 0001043961 TRANSGENOMIC INC TBIO 0001317965 Richards Leon C/O TRANSGENOMIC, INC. 12325 EMMET STREET OMAHA NE 68164 0 1 0 0 Chief Accounting Officer Stock Option (Right to Buy) 3.15 2014-11-04 4 A 0 20000 0 A 2015-11-04 2024-11-04 Common Stock 20000 20000 D Stock Appreciation Rights 3.15 2014-11-04 4 A 0 15000 0 A 2015-11-04 2024-11-04 Common Stock 15000 15000 D The option was granted on 11/4/2014 and is exercisable as it vests. The option vests over a three year period, with 1/3 of the shares subject to the option vesting on each one year anniversary of the date of grant, subject to the reporting person's continued employment with the issuer on each such date. The stock appreciation rights were granted on 11/4/2014 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 date of grant and the balance vesting ratably over the remaining 24 months, subject to the reporting person's continued employment with the issuer on each such date. /s/ Leon Richards 2014-11-05