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