ABAXIS INC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 49 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-10-31: Reporting owner WOOD DONALD PETER; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-10-31: Reporting owner HANLON BRENTON; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-10-28: Reporting owner CASEY MICHAEL D; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-05-05: Reporting owner WOOD DONALD PETER; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-10-31 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 0 owned after | $0.00 | 2011-11-02 | |
| 2011-10-31 | HANLON BRENTON Officer (VP-Sales & Marketing,Medical) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 17,000 owned after | $0.00 | 2011-11-01 | |
| 2011-10-28 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,200 0 owned after | $0.00 | 2011-11-01 | |
| 2011-05-05 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 14,000 owned after | $0.00 | 2011-05-06 | |
| 2011-05-05 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 35,000 owned after | $0.00 | 2011-05-06 | |
| 2011-05-05 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 14,000 owned after | $0.00 | 2011-05-06 | |
| 2011-05-05 | Mulroy Martin Officer (VP-Sales & Mktg, Animal Health) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 14,000 owned after | $0.00 | 2011-05-06 | |
| 2011-05-05 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 14,000 owned after | $0.00 | 2011-05-06 | |
| 2011-05-05 | Henkel Achim Officer (Managing Director-Europe) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 7,000 owned after | $0.00 | 2011-05-06 | |
| 2011-05-05 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 14,000 owned after | $0.00 | 2011-05-06 | |
| 2011-05-03 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 23,750 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,750 52,250 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 23,750 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | Mulroy Martin Officer (VP-Sales & Mktg, Animal Health) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 23,750 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 23,750 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | Henkel Achim Officer (Managing Director-Europe) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 19,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | HANLON BRENTON Officer (VP-Sales & Marketing,Medical) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 19,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 23,750 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | TUCKER ERNEST Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,200 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,200 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,200 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-03 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,200 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 21,250 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,000 55,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 46,750 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 21,250 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | Mulroy Martin Officer (VP-Sales & Mktg, Animal Health) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | Mulroy Martin Officer (VP-Sales & Mktg, Animal Health) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | Mulroy Martin Officer (VP-Sales & Mktg, Animal Health) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 21,250 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 21,250 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | Henkel Achim Officer (Managing Director-Europe) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | Henkel Achim Officer (Managing Director-Europe) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | Henkel Achim Officer (Managing Director-Europe) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 4,250 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | HANLON BRENTON Officer (VP-Sales & Marketing,Medical) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 0 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 21,250 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | TUCKER ERNEST Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $0.00 | 2011-05-04 | |
| 2011-05-02 | ALTMAN VERNON E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $0.00 | 2011-05-04 |