0001209191-11-051460.txt : 20111011
0001209191-11-051460.hdr.sgml : 20111010
20111011171603
ACCESSION NUMBER: 0001209191-11-051460
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: Gold Mark Stephen
CENTRAL INDEX KEY: 0001531332
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-16159
FILM NUMBER: 111136102
MAIL ADDRESS:
STREET 1: 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
c23210_3x0.xml
MAIN DOCUMENT DESCRIPTION
X0204
3
2011-09-30
0
0000805928
AxoGen, Inc.
LECT
0001531332
Gold Mark Stephen
C/O AXOGEN, INC.
13859 PROGRESS BOULEVARD, SUITE 100
ALACHUA
FL
32615
1
0
0
0
Common Stock
107690
I
By Spouse
Common Stock
125523
I
See Footnote
Common Stock
143013
I
By Child
Stock Option
.25
2007-07-25
2017-07-25
Common Stock
3727
D
Stock Option
.25
2011-02-24
2021-02-24
Common Stock
5964
D
Stock Option
1.00
2011-04-11
2021-04-11
Common Stock
4864
D
Stock Option
1.00
2011-05-31
2021-05-31
Common Stock
4210
D
Stock Option
1.00
2011-09-29
2021-09-29
Common Stock
869
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 held by MJSK, Ltd., an investment trust held by Dr. Gold's family.
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.
All of these options have vested.
None of these options have vested.
These options vest annually over three years from the date of grant.
/s/ Mark Gold
2011-10-11