0001209191-11-051422.txt : 20111011 0001209191-11-051422.hdr.sgml : 20111010 20111011161411 ACCESSION NUMBER: 0001209191-11-051422 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: Grooms Jamie Mark CENTRAL INDEX KEY: 0001530935 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16159 FILM NUMBER: 111135693 MAIL ADDRESS: STREET 1: 6565 N.W.81ST BLVD CITY: GAINESVILLE STATE: FL ZIP: 32653 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 c23218_3x0.xml MAIN DOCUMENT DESCRIPTION X0204 3 2011-09-30 0 0000805928 AxoGen, Inc. LECT 0001530935 Grooms Jamie Mark C/O AXOGEN, INC. 13859 PROGRESS BOULEVARD, SUITE 100 ALACHUA FL 32615 1 0 0 0 Common Stock 213079 D Common Stock 132883 I See Footnote Stock Option 0.25 2007-12-05 2017-12-06 Common Stock 11182 D Stock Option 0.25 2007-12-06 2017-12-06 Common Stock 3197 D Stock Option 0.25 2008-11-18 2018-11-18 Common Stock 494 D Stock Option 0.25 2010-06-09 2020-06-09 Common Stock 108989 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 share of AC common stock converted into 0.03727336 share of LecTec common stock at the effective time of the Merger. These shares are directly owned by the Jamie Grooms Trust, of which Mr. Grooms is the trustee. 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. 9,799 options have vested, and 1,383 options are unvested. 2,797 options have vested, and 400 options are unvested. 309 options have vested, and 185 options are unvested. 27,247 options have vested, and 81,742 options are unvested. These options vest semi-annually over four years from the date of grant. /s/ Jamie M. Grooms 2011-10-11