0001179110-16-025727.txt : 20160531 0001179110-16-025727.hdr.sgml : 20160531 20160531170704 ACCESSION NUMBER: 0001179110-16-025727 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160314 FILED AS OF DATE: 20160531 DATE AS OF CHANGE: 20160531 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AxoGen, Inc. CENTRAL INDEX KEY: 0000805928 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 411301878 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13859 PROGRESS BLVD. STREET 2: SUITE 100 CITY: ALACHUA STATE: FL ZIP: 32615 BUSINESS PHONE: (386) 462-6817 MAIL ADDRESS: STREET 1: 13859 PROGRESS BLVD. STREET 2: SUITE 100 CITY: ALACHUA STATE: FL ZIP: 32615 FORMER COMPANY: FORMER CONFORMED NAME: LECTEC CORP /MN/ DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Leach Kevin CENTRAL INDEX KEY: 0001668805 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36046 FILM NUMBER: 161686818 MAIL ADDRESS: STREET 1: C/O AXOGEN, INC. STREET 2: 13631 PROGRESS BOULEVARD, SUITE 400 CITY: ALACHUA STATE: FL ZIP: 32615 4/A 1 edgar.xml FORM 4/A - X0306 4/A 2016-03-14 2016-03-16 0 0000805928 AxoGen, Inc. AXGN 0001668805 Leach Kevin 13631 PROGRESS BOULEVARD SUITE 400 ALACHUA FL 32615 0 1 0 0 Vice President Marketing Employee Stock Option (right to purchase) 5.30 2016-03-14 4 A 0 160000 0 A 2023-03-14 Common Stock 160000 160000 D All shares of Common Stock underlying the employee stock option will be fully vested on March 14, 2020 (4 years from the option grant date) based upon a vesting schedule whereby 25% of the aggregate shares vest on March 14, 2017 (12 months from the option grant date) and an additional 12.5% of the aggregate shares vest each 6 months thereafter. The option when issued and originally reported was not exercisable until such time as the number of shares reserved for issuance under the AxoGen, Inc. 2010 Stock Incentive Plan, as amended and restated, had been increased by an affirmative vote of the shareholders of AxoGen, Inc. in an amount that would exceed the shares of Common Stock issuable upon exercise of the option and all other options containing this provision granted prior to such shareholder vote. On May 26, 2016, the Shareholders of AxoGen, Inc. approved by affirmative vote an increase in the number of shares reserved for issuance under the AxoGen, Inc. 2010 Stock Incentive Plan, as amended and restated, that satisfied this contingency. This Amendment is provided to reflect that such contingency has been satisfied and the reported option is no longer subject to such contingency and is exercisable pursuant to its terms, including the vesting provisions provided in Footnote 1 hereof. /s/Kevin Leach 2016-05-31