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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Option (right to buy) | $ 69.77 | 03/07/2018 | A | 1,433 | (1) | 03/06/2028 | Common Stock | 1,433 | $ 0 | 1,433 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 69.77 | 03/07/2018 | A | 8,567 | (1) | 03/06/2028 | Common Stock | 8,567 | $ 0 | 8,567 | D | ||||
Performance Shares | (2) | 03/07/2018 | A | 1,970 | (2) | 03/31/2025 | Common Stock | 1,970 | $ 0 | 1,970 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Asakowicz Steve 3760 ROCKY MOUNTAIN AVENUE LOVELAND, CO 80538 |
EVP, Comp. Animal Health Sales |
By: Jason A. Napolitano For: Steve Asakowicz | 03/09/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The aggregate of these two option awards vests in three approximately equal annual installments beginning on March 7, 2019 and ending on March 7, 2021. |
(2) | The vesting of each of three approximately equal performance share tranches is contingent on the achievement of certain market-vesting thresholds based on the price per share of Heska's common stock average over a 20-day trailing trading period. The first tranche is to vest at the later of the achievement of $87.21 per share or the second anniversary of grant date. The second tranche is to vest at the later of the achievement of $101.17 per share or the third anniversary of grant date. The third tranche is to vest at the later of the achievement of $122.10 per share or the fourth anniversary of grant date. Any performance shares that do not vest by March 31, 2025 are to be forfeited. |