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