Wayne Paterson - Dec 16, 2024 Form 4 Insider Report for Anteris Technologies Global Corp. (AVR)

Role
Chief Executive Officer, Director
Signature
/s/ Matthew McDonnell, Attorney-in-Fact
Stock symbol
AVR
Transactions as of
Dec 16, 2024
Transactions value $
$0
Form type
4
Date filed
12/18/2024, 09:19 PM
Previous filing
Dec 12, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AVR Common Stock Award +20.3K 20.3K Dec 16, 2024 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AVR Stock Option Award $0 +14.4K $0.00 14.4K Dec 16, 2024 Common Stock 14.4K $23.56 Direct F2, F3, F4
transaction AVR Stock Option Award $0 +31.9K $0.00 31.9K Dec 16, 2024 Common Stock 31.9K $3.76 Direct F2, F3, F5
transaction AVR Stock Option Award $0 +233K $0.00 233K Dec 16, 2024 Common Stock 233K $7.13 Direct F2, F3, F6
transaction AVR Stock Option Award $0 +41.2K $0.00 41.2K Dec 16, 2024 Common Stock 41.2K $6.04 Direct F2, F3, F7
transaction AVR Stock Option Award $0 +259K $0.00 259K Dec 16, 2024 Common Stock 259K $8.25 Direct F2, F3, F8
transaction AVR Stock Option Award $0 +700K $0.00 700K Dec 16, 2024 Common Stock 700K $15.28 Direct F2, F3, F9
transaction AVR Stock Option Award $0 +300K $0.00 300K Dec 16, 2024 Common Stock 300K $14.64 Direct F2, F3, F10
transaction AVR Option Award $0 +4.17K $0.00 4.17K Dec 16, 2024 Common Stock 4.17K $18.46 Direct F2, F3, F11, F12
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Received in exchange for an equivalent number of ordinary shares of Anteris Technologies Ltd ("ATL") in connection with a series of reorganization transactions pursuant to which the Issuer received all of the issued and outstanding shares of ATL pursuant to a scheme of arrangement (the "Scheme") under Australian law between ATL and its shareholders under Part 5.1 of the Australian Corporations Act 2001 (Cth) (the "Corporations Act"). On December 16, 2024, the effective date of the Scheme and the closing of the Issuer's U.S. initial public offering (the "Effective Date"), the closing price of the Issuer's common stock was $5.50 per share.
F2 Options are issued in AUD. Exercise prices have been translated into USD using the December 15, 2024 exchange rate, which was approximately A$1.00 to $0.64.
F3 Legacy awards originally issued by ATL that were assumed by the Issuer pursuant to a scheme of arrangement between ATL and its optionholders under Part 5.1 of the Corporations Act, effective on the Effective Date.
F4 The option vested in three equal annual installments beginning on December 31, 2018.
F5 The option vested in three equal annual installments beginning on December 31, 2019.
F6 The option vested in two equal installments on February 8, 2022 and June 24, 2022.
F7 The option vests in three equal annual installments beginning on December 31, 2022, subject to the Reporting Person's continued service.
F8 The option vests in three equal annual installments beginning on December 31, 2022, subject to the Reporting Person's continued service.
F9 The option vests in three equal annual installments beginning on September 15, 2024, subject to the Reporting Person's continued service.
F10 The option vests in three equal annual installments beginning on June 19, 2025, subject to the Reporting Person's continued service.
F11 The non-incentive plan option is vested and may be exercised until May 31, 2025.
F12 The options were issued on May 31, 2023 as free-attaching options relating to a share placement which occurred on February 15, 2023.