Filing Details
- Accession Number:
- 0000899243-18-030742
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-12 18:50:31
- Reporting Period:
- 2016-03-24
- Accepted Time:
- 2018-12-12 18:50:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1596946 | Quotient Ltd | QTNT | In Vitro & In Vivo Diagnostic Substances (2835) | 264719797 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1604877 | Frederick Hallsworth | 28 Esplanade St Helier Y9 JE2 3QA | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Disposition | 2016-03-24 | 22 | $8.59 | 55,091 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2017-03-23 | 26 | $6.65 | 55,065 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2018-03-21 | 28 | $6.21 | 55,037 | No | 4 | S | Direct | |
| Ordinary Shares | Acquisiton | 2018-12-11 | 10,000 | $6.50 | 65,037 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Ordinary Share Option (Right to Buy) | $11.62 | 2025-10-31 | 7,505 | 7,505 | Direct | |
| Ordinary Shares | Ordinary Share Option (Right to Buy) | $8.00 | 2024-04-29 | 5,000 | 5,000 | Direct | |
| Ordinary Shares | Option to Purchase Ordinary Shares | $0.00 | 2014-02-13 | 2022-08-30 | 20,014 | 20,014 | Direct |
| Ordinary Shares | Ordinary Share Option (Right to Buy) | $9.95 | 2024-10-31 | 5,025 | 5,025 | Direct | |
| Ordinary Shares | Ordinary Share Option (Right to Buy) | $5.73 | 2026-10-31 | 8,726 | 8,726 | Direct | |
| Ordinary Shares | Ordinary Share Option (Right to Buy) | $5.21 | 2027-10-31 | 9,597 | 9,597 | Direct | |
| Ordinary Shares | Restricted Stock Units | $0.00 | 2,879 | 2,879 | Direct | ||
| Ordinary Shares | Restricted Stock Units | $0.00 | 18,721 | 18,721 | Direct | ||
| Ordinary Shares | Ordinary Share Option (Right to Buy) | $6.41 | 2028-10-31 | 6,240 | 6,240 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-10-31 | 7,505 | 7,505 | Direct |
| 2024-04-29 | 5,000 | 5,000 | Direct |
| 2022-08-30 | 20,014 | 20,014 | Direct |
| 2024-10-31 | 5,025 | 5,025 | Direct |
| 2026-10-31 | 8,726 | 8,726 | Direct |
| 2027-10-31 | 9,597 | 9,597 | Direct |
| 2,879 | 2,879 | Direct | |
| 18,721 | 18,721 | Direct | |
| 2028-10-31 | 6,240 | 6,240 | Direct |
Footnotes
- Restricted Stock Units convert into ordinary shares on a one-for-one basis.
- All 7,505 options have vested and remain exercisable.
- All 5,000 options have vested and remain exercisable.
- The exercise price will be paid in pounds sterling, at GBP0.91 per share.
- All 5,025 options have vested and remain exercisable.
- 5,818 options have vested on October 31, 2018 and remain exercisable, 2,908 options will vest on October 31, 2019.
- 3,199 options vested on October 31, 2018 and remain exercisable, 3,199 options will vest on October 31, 2019 and 3,199 options will vest on October 31, 2020.
- On October 31, 2017, the Reporting Person was granted 5,758 restricted stock units, of which 2,879 have vested and have been exercised. The remaining 2,879 restricted stock units will vest on October 31, 2019.
- On October 31, 2018, the Reporting Person was granted 18,721 restricted stock units, vesting in four equal installments on January 31, 2019, April 30, 2019, July 30, 2019 and October 31, 2019.
- The options vest and become exercisable in three equal annual installments beginning October 31, 2019.
- Relates to an inadvertent sale of ordinary shares, by the reporting person's broker to settle annual brokerage fees, without the reporting person's prior knowledge or direction.
- The reporting person's inadvertent sale of 22 ordinary shares on March 24, 2016 at a price of $8.59 per share reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with the reporting person's purchase of 5,000 ordinary shares upon exercise of warrants on October 2, 2015 at a price of $8.80 per share. The reporting person realized no profit in connection with this short-swing transaction.
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