0001209191-11-051416.txt : 20111011 0001209191-11-051416.hdr.sgml : 20111010 20111011160940 ACCESSION NUMBER: 0001209191-11-051416 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111011 DATE AS OF CHANGE: 20111011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Friedman Mark Louis CENTRAL INDEX KEY: 0001531023 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16159 FILM NUMBER: 111135648 MAIL ADDRESS: STREET 1: AXOGEN, INC STREET 2: 13859 PROGRESS BLVD SUITE 100 CITY: ALACHUA STATE: FL ZIP: 32615 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AxoGen, Inc. CENTRAL INDEX KEY: 0000805928 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 411301878 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1407 S. KINGS HIGHWAY CITY: TEXARKANA STATE: TX ZIP: 75501 BUSINESS PHONE: (903) 280-8454 MAIL ADDRESS: STREET 1: 1407 S. KINGS HIGHWAY CITY: TEXARKANA STATE: TX ZIP: 75501 FORMER COMPANY: FORMER CONFORMED NAME: LECTEC CORP /MN/ DATE OF NAME CHANGE: 19920703 3 1 c23219_3x0.xml MAIN DOCUMENT DESCRIPTION X0204 3 2011-09-30 0 0000805928 AxoGen, Inc. LECT 0001531023 Friedman Mark Louis C/O AXOGEN, INC. 13859 PROGRESS BOULEVARD, SUITE 100 ALACHUA FL 32615 0 1 0 0 See Remarks Stock Option 0.25 2006-10-17 2016-10-17 Common Stock 3727 D Stock Option 0.25 2007-04-27 2017-04-27 Common Stock 1028 D Stock Option 0.25 2007-12-06 2017-12-06 Common Stock 601 D Stock Option 0.25 2008-11-18 2018-11-18 Common Stock 309 D Stock Option 1.00 2011-06-20 2021-06-20 Common Stock 16829 D Pursuant to an Agreement and Plan of Merger, dated as of May 31, 2011, by and among LecTec Corporation ("LecTec"), Nerve Merger Sub Corp., a subsidiary of LecTec ("Merger Sub"), and AxoGen Corporation ("AC"), which the parties amended on June 30, 2011 and August 9, 2011 (as amended, the "Merger Agreement"), Merger Sub merged with and into AC, with AC continuing after the merger as the surviving corporation and a wholly owned subsidiary of LecTec (the "Merger"). The Merger was completed on September 30, 2011, and LecTec was renamed AxoGen, Inc. ("AxoGen"). In connection with the Merger, each option to purchase shares of AC common stock was converted to an option to purchase 0.03727336 of a share of AxoGen common stock. 100% of the options have vested. 526 options have vested, and 75 options are unvested. 193 options have vested, and 116 options are unvested. None of the options have vested. These options vest semi-annually over four years from the date of grant. Vice President of Regulatory Affairs and Quality Assurance of AxoGen Corporation, a wholly owned subsidiary of Autogen, Inc. /s/ Mark Friedman 2011-10-11