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: 77 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-10-24: Reporting owner TOCKMAN CRAIG; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-08-04: Reporting owner TOCKMAN CRAIG; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-08-01: Reporting owner TOCKMAN CRAIG; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-07-30: Reporting owner TOCKMAN CRAIG; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-10-24 | TOCKMAN CRAIG 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 | −250 4,750 owned after | $0.00 | 2014-10-28 | |
| 2014-08-04 | TOCKMAN CRAIG 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 | −350 0 owned after | $0.00 | 2014-08-05 | |
| 2014-08-01 | TOCKMAN CRAIG 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 | −75 350 owned after | $0.00 | 2014-08-05 | |
| 2014-07-30 | TOCKMAN CRAIG 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 | −50 425 owned after | $0.00 | 2014-07-31 | |
| 2014-07-29 | TOCKMAN CRAIG 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 | −25 475 owned after | $0.00 | 2014-07-31 | |
| 2014-05-05 | WOOD DONALD PETER Officer (Chief Operating 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 | 2014-05-06 | |
| 2014-05-05 | 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 | −38,500 0 owned after | $0.00 | 2014-05-06 | |
| 2014-05-05 | 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 | −17,500 0 owned after | $0.00 | 2014-05-06 | |
| 2014-05-05 | 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 | −17,500 0 owned after | $0.00 | 2014-05-06 | |
| 2014-05-05 | 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 | −14,000 0 owned after | $0.00 | 2014-05-06 | |
| 2014-05-05 | 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 | −17,500 0 owned after | $0.00 | 2014-05-06 | |
| 2014-05-02 | WOOD DONALD PETER Officer (Chief Operating 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 | 2014-05-06 | |
| 2014-05-02 | 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 | −8,250 38,500 owned after | $0.00 | 2014-05-06 | |
| 2014-05-02 | 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 | −3,750 17,500 owned after | $0.00 | 2014-05-06 | |
| 2014-05-02 | 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 | −3,750 17,500 owned after | $0.00 | 2014-05-06 | |
| 2014-05-02 | 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 | −3,000 14,000 owned after | $0.00 | 2014-05-06 | |
| 2014-05-02 | 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 | −3,750 17,500 owned after | $0.00 | 2014-05-06 | |
| 2014-04-30 | 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 | −900 7,650 owned after | $0.00 | 2014-05-01 | |
| 2014-04-30 | WOOD DONALD PETER Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,050 8,925 owned after | $0.00 | 2014-05-01 | |
| 2014-04-30 | 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 | −1,050 8,925 owned after | $0.00 | 2014-05-01 | |
| 2014-04-30 | 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 | −1,050 8,925 owned after | $0.00 | 2014-05-01 | |
| 2014-04-30 | 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 | −1,050 8,925 owned after | $0.00 | 2014-05-01 | |
| 2014-04-30 | 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 | −2,300 19,550 owned after | $0.00 | 2014-05-01 | |
| 2014-04-30 holding as of filing | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2014-04-30 | ||
| 2014-04-30 holding as of filing | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2014-04-30 | ||
| 2014-04-30 holding as of filing | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2014-04-30 | ||
| 2014-04-30 holding as of filing | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2014-04-30 | ||
| 2014-04-30 holding as of filing | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2014-04-30 | ||
| 2014-04-29 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | ALTMAN VERNON E Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | WOOD DONALD PETER Officer (Chief Operating Officer) | 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 | 2014-04-30 | |
| 2014-04-29 | WOOD DONALD PETER Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | WOOD DONALD PETER Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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 | −950 18,050 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −18,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −18,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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 | −450 8,550 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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 | −450 8,550 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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 | −350 6,650 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −6,500 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −6,500 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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 | −450 8,550 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-29 | 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) | −8,000 0 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | ALTMAN VERNON E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | WOOD DONALD PETER Officer (Chief Operating 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 | 2014-04-30 | |
| 2014-04-28 | WOOD DONALD PETER Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | WOOD DONALD PETER Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | 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 | 2014-04-30 | |
| 2014-04-28 | 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 | 2014-04-30 | |
| 2014-04-28 | 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 | 2014-04-30 | |
| 2014-04-28 | 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 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | 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 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | Henkel Achim Officer (Managing Director-Europe) | 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 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | 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 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | 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) | +12,000 12,000 owned after | $0.00 | 2014-04-30 | |
| 2014-04-28 | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 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 | 2014-04-30 | |
| 2014-04-28 | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 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 | 2014-04-30 | |
| 2014-04-28 | TOCKMAN CRAIG Officer (VP-Sales & Mktg, Animal Health) | 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 | 2014-04-30 |