0001209191-13-021072.txt : 20130410
0001209191-13-021072.hdr.sgml : 20130410
20130410163313
ACCESSION NUMBER: 0001209191-13-021072
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20130410
DATE AS OF CHANGE: 20130410
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Harper John Frederick
CENTRAL INDEX KEY: 0001530945
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-16159
FILM NUMBER: 13754025
MAIL ADDRESS:
STREET 1: AXOGEN, INC
STREET 2: 13859 PROGRESS BLVD., STE 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
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
3/A
1
doc3a.xml
FORM 3/A SUBMISSION
X0206
3/A
2011-09-30
2011-10-11
0
0000805928
AxoGen, Inc.
AXGN
0001530945
Harper John Frederick
13859 PROGRESS BLVD.,
SUITE 100
ALACHUA
FL
32615
1
0
0
0
Common Stock
55416
D
Common Stock
86557
I
Shares owned indirectly through Springboard Capital II, LLC. as a non-controlling limited partner
Stock Option (right to buy)
0.27
2011-02-24
2021-02-24
Common Stock
2149
D
Stock Option (right to buy)
0.27
2009-07-24
2019-07-24
Common Stock
5964
D
Stock Option (right to buy)
1.07
2011-06-20
2021-06-20
Common Stock
4210
D
Stock Option (right to buy)
1.07
2011-09-29
2021-09-29
Common Stock
5218
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.
Reflects 9,318 shares obtained as a result of an option exercise which was not reflected in orginal filing.
Shares are owned indirectly through Springboard Capital II, LLC. as a non-controlling limited partner.
9,318 shares under option were included in orginal filing but had previousely been exercised.
These options have not vested.
These shares vest annually over three years from grant date.
Amended to correct mistake in option exercise price after appropriate application of conversion ratio as explained in footnotes.
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.
3,976 options have vested, and 1,988 options are unvested.
/s/ John Harper
2013-04-10