Oates Adrian 4
4 · UNIVERSAL BIOSENSORS INC · Filed Aug 17, 2017
Insider Transaction Report
Form 4
Oates Adrian
VP, Quality & Regulatory
Transactions
- Exercise/Conversion
Common Stock
2017-08-16+41,667→ 56,837 total - Exercise/Conversion
Stock Option (Right to Buy)
2017-08-16−16,667→ 0 totalExercise: $0.00Exp: 2019-05-14→ Common Stock (16,667 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2017-08-16−25,000→ 0 totalExercise: $0.00Exp: 2017-11-10→ Common Stock (25,000 underlying)
Holdings
- 25,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2018-11-17→ Common Stock (25,000 underlying) - 40,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2020-12-11→ Common Stock (40,000 underlying) - 25,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2019-11-12→ Common Stock (25,000 underlying) - 400,000
Stock Option (Right to Buy)
Exercise: $1.20Exp: 2017-09-18→ Common Stock (400,000 underlying) - 728,000
Stock Option (Right to Buy)
Exercise: $0.50Exp: 2023-04-20→ Common Stock (728,000 underlying) - 40,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2022-01-29→ Common Stock (40,000 underlying) - 100,000
Stock Option (Right to Buy)
Exercise: $1.72Exp: 2019-11-09→ Common Stock (100,000 underlying) - 105,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2019-06-28→ Common Stock (105,000 underlying)
Footnotes (12)
- [F1]The price is stated in Australian dollars.
- [F10]1/3 of the stock options vested and became exercisable on 06/30/2008, 1/3 of the options vested and became exercisable on 06/30/2009 and the remaining stock options vested and became exercisable on 06/30/2010.
- [F11]208,000 of the stock options vested and became exercisable on October 5, 2016, 416,000 of the stock options vested and became exerciseable on December 31, 2016 and 104,000 of the stock options vested and became exercisable on February 23, 2017.
- [F12]Includes (i) 46,960 shares in the form of CDIs Dr. Oates holds directly and (ii) 9,877 restricted fully paid shares.
- [F2]13,333 stock options vested and became exercisable on 12/31/2015, 13,333 stock options vested and became exercisable on 12/31/2016, and 13,334 stock options vest and become exercisable on 12/31/2017.
- [F3]13,333 stock options vested and became exercisable on 12/31/2014, 13,333 stock options vested and became exercisable on 12/31/2015, and 13,334 stock options vested and became exercisable on 12/31/2016.
- [F4]8,333 stock options vested and became exercisable on 12/31/2013, 8,333 stock options vested and became exercisable on 12/31/2014, and 8,334 stock options vested and became exercisable on 12/31/2015.
- [F5]8,333 stock options vested and became exercisable on 12/31/2012, 8,333 stock options vested and became exercisable on 12/31/2013, and 8,334 stock options vested and became exercisable on 12/31/2014.
- [F6]1/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012. All of these options were exercised on August 16, 2017.
- [F7]1/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012.
- [F8]10,000 stock options vested and became exercisable on 12/31/2010, 21,666 stock options vested and became exercisable on 12/31/2011, 35,000 stock options vested and became exercisable on 12/31/2012, 25,000 stock options vested and became exercisable on 12/31/2013, and 13,334 stock options vested and became exercisable on 12/31/2014.
- [F9]8,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/2011. All of these options were exercised on August 16, 2017.