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