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: 73 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-05-03: Reporting owner Henkel Achim; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-05-03: Reporting owner OSTOICH VLADIMIR; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-05-03: 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.
- 2013-05-03: Reporting owner Mulroy Martin; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-05-03 | 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 | −3,000 14,000 owned after | $0.00 | 2013-05-06 | |
| 2013-05-03 | 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 | −3,750 17,500 owned after | $0.00 | 2013-05-06 | |
| 2013-05-03 | 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 | −3,750 17,500 owned after | $0.00 | 2013-05-06 | |
| 2013-05-03 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 17,500 owned after | $0.00 | 2013-05-06 | |
| 2013-05-03 | 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 | −3,750 17,500 owned after | $0.00 | 2013-05-06 | |
| 2013-05-03 | 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 | −3,750 17,500 owned after | $0.00 | 2013-05-06 | |
| 2013-05-03 | 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 | −8,250 38,500 owned after | $0.00 | 2013-05-06 | |
| 2013-05-02 | 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 | −2,000 17,000 owned after | $0.00 | 2013-05-06 | |
| 2013-05-02 | 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 | 2013-05-06 | |
| 2013-05-02 | 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 | 2013-05-06 | |
| 2013-05-02 | Mulroy Martin Officer (Chief Commercial 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 | 2013-05-06 | |
| 2013-05-02 | 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 | 2013-05-06 | |
| 2013-05-02 | 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 | 2013-05-06 | |
| 2013-05-02 | 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 | 2013-05-06 | |
| 2013-05-01 | 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 | 2013-05-02 | |
| 2013-05-01 | 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 | −17,500 0 owned after | $0.00 | 2013-05-02 | |
| 2013-05-01 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 0 owned after | $0.00 | 2013-05-02 | |
| 2013-05-01 | 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 | −17,500 0 owned after | $0.00 | 2013-05-02 | |
| 2013-05-01 | 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 | −17,500 0 owned after | $0.00 | 2013-05-02 | |
| 2013-05-01 | 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 | −17,500 0 owned after | $0.00 | 2013-05-02 | |
| 2013-05-01 | 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 | −38,500 0 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | 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 | −450 8,550 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | 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 | −525 9,975 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −525 9,975 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | 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 | −525 9,975 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | 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 | −525 9,975 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | 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 | −525 9,975 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | 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 | −1,150 21,850 owned after | $0.00 | 2013-05-02 | |
| 2013-04-30 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-30 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-30 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-30 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-30 | ALTMAN VERNON E Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Henkel Achim Officer (Managing Director-Europe) | 4 | Performance Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,250 6,750 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Henkel Achim Officer (Managing Director-Europe) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,750 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Henkel Achim Officer (Managing Director-Europe) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Henkel Achim Officer (Managing Director-Europe) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500 6,500 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Henkel Achim Officer (Managing Director-Europe) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500 6,500 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,625 7,875 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,875 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | 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) | +9,000 9,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | WOOD DONALD PETER Officer (Chief Operations Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,625 7,875 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,875 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | Mulroy Martin Officer (Chief Commercial Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Performance Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,625 7,875 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,875 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | 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) | +9,000 9,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,625 7,875 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,875 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Performance Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,625 7,875 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,875 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | 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) | +9,000 9,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Performance Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,750 17,250 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,250 0 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | 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) | +19,000 19,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2013-05-01 | |
| 2013-04-29 | ALTMAN VERNON E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 4,000 owned after | $0.00 | 2013-05-01 |