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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Deferred Stock Unit (1) | (2) | 09/01/2017 | A | 240 | (2) | (2) | Common Stock | 240 | (4) | 240 | D | ||||
Non-Qualified Stock Option (right-to-buy) (1) | $ 154.98 | 09/01/2017 | A | 2,532 | (3) | 08/31/2027 | Common Stock | 2,532 | (4) | 2,532 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ESSIG STUART ONE IDEXX DRIVE WESTBROOK, ME 04092 |
X |
/s/ Lily J. Lu, Attorney-in-Fact for Stuart Essig | 09/06/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This equity grant represents pro rata equity compensation earned by the reporting person as a non-employee Director from his election to the IDEXX Laboratories, Inc. Board of Directors on July 12, 2017 until the 2018 annual meeting of stockholders. |
(2) | Each deferred stock unit ('DSU') represents a contingent right to receive one share of IDEXX Laboratories, Inc. common stock. These DSUs will fully vest on the date of the 2018 annual meeting of stockholders or May 3, 2018, whichever event occurs earlier, and are payable as common stock one year following the Director's resignation from the Board of Directors. |
(3) | Grant of option to buy shares of IDEXX Laboratories, Inc. common stock that vests in one installment on May 3, 2018. |
(4) | Not applicable. |