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: 51 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-10-27: Reporting owner TAYLOR DEAN ROSS JR; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-27: Reporting owner TOCKMAN CRAIG; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-08-01: Reporting owner TOCKMAN CRAIG; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-07-29: 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-10-27 | TAYLOR DEAN ROSS JR 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 | −1,000 8,500 owned after | $0.00 | 2016-10-31 | |
| 2016-10-27 | TOCKMAN CRAIG Officer (VP,Sales&MarketingAnimalHealth) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −750 3,500 owned after | $0.00 | 2016-10-31 | |
| 2016-08-01 | 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 | −350 0 owned after | $0.00 | 2016-08-02 | |
| 2016-07-29 | 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 | −75 350 owned after | $0.00 | 2016-08-02 | |
| 2016-05-04 | 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 | −450 8,550 owned after | $0.00 | 2016-05-06 | |
| 2016-05-04 | 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 | 2016-05-06 | |
| 2016-05-04 | 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 | 2016-05-06 | |
| 2016-05-04 | WOOD DONALD PETER Officer (President and COO) | 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 | 2016-05-06 | |
| 2016-05-04 | TAYLOR DEAN ROSS JR 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 | 2016-05-06 | |
| 2016-05-04 | SEVERSON CLINTON Director, Officer (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 | 2016-05-06 | |
| 2016-05-04 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-04 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-04 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-04 | ALTMAN VERNON E Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-04 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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 | 2016-05-04 | |
| 2016-05-02 | 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 | 2016-05-04 | |
| 2016-05-02 | 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 | 2016-05-04 | |
| 2016-05-02 | 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 | −900 7,650 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | ARON KENNETH Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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 | 2016-05-04 | |
| 2016-05-02 | 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 | 2016-05-04 | |
| 2016-05-02 | 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 | −900 7,650 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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 | −1,350 6,300 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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 | −7,350 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | Henkel Achim Officer (Managing Director-Europe) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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) | +8,000 8,000 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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) | +8,000 8,000 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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 | −900 7,650 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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 | −1,050 4,900 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | 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 | −6,300 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | WOOD DONALD PETER Officer (President and COO) | 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 | 2016-05-04 | |
| 2016-05-02 | WOOD DONALD PETER Officer (President and COO) | 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 | 2016-05-04 | |
| 2016-05-02 | WOOD DONALD PETER Officer (President and COO) | 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 | 2016-05-04 | |
| 2016-05-02 | WOOD DONALD PETER Officer (President and COO) | 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 | 2016-05-04 | |
| 2016-05-02 | WOOD DONALD PETER Officer (President and COO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,350 6,300 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | WOOD DONALD PETER Officer (President and COO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,350 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | TAYLOR DEAN ROSS JR 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 | 2016-05-04 | |
| 2016-05-02 | TAYLOR DEAN ROSS JR 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 | 2016-05-04 | |
| 2016-05-02 | TAYLOR DEAN ROSS JR 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 | 2016-05-04 | |
| 2016-05-02 | SEVERSON CLINTON Director, Officer (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 | 2016-05-04 | |
| 2016-05-02 | SEVERSON CLINTON Director, Officer (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 | 2016-05-04 | |
| 2016-05-02 | SEVERSON CLINTON Director, Officer (CEO & Board Chairman) | 4 | Performance Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,000 33,000 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | SEVERSON CLINTON Director, Officer (CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,900 16,150 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | SEVERSON CLINTON Director, Officer (CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,850 13,300 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | SEVERSON CLINTON Director, Officer (CEO & Board Chairman) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,100 0 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | CASEY MICHAEL D Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,500 5,500 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | SINGH PRITHIPAL Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,500 5,500 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | EVENHUIS HENK Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,500 5,500 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | ALTMAN VERNON E Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,500 5,500 owned after | $0.00 | 2016-05-04 | |
| 2016-05-02 | BASTIANI RICHARD Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,500 5,500 owned after | $0.00 | 2016-05-04 |