0001615594-18-000001.txt : 20180102 0001615594-18-000001.hdr.sgml : 20180102 20180102175022 ACCESSION NUMBER: 0001615594-18-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171228 FILED AS OF DATE: 20180102 DATE AS OF CHANGE: 20180102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Margolies Matthew CENTRAL INDEX KEY: 0001454247 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13543 FILM NUMBER: 18502831 MAIL ADDRESS: STREET 1: 3065 SUMMER LEAF CT CITY: GALENA STATE: OH ZIP: 43021 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MGC DIAGNOSTICS Corp CENTRAL INDEX KEY: 0000815093 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 411579150 STATE OF INCORPORATION: MN FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 350 OAK GROVE PARKWAY CITY: ST PAUL STATE: MN ZIP: 55127 BUSINESS PHONE: 651-484-4874 MAIL ADDRESS: STREET 1: 350 OAK GROVE PARKWAY CITY: ST PAUL STATE: MN ZIP: 55127 FORMER COMPANY: FORMER CONFORMED NAME: ANGEION CORP/MN DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: VERDE VENTURES INC DATE OF NAME CHANGE: 19880714 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-12-28 1 0000815093 MGC DIAGNOSTICS Corp MGCD 0001454247 Margolies Matthew 3065 SUMMER LEAF CT GALENA OH 43021 0 1 0 0 President Common Stock 2017-12-28 4 D 0 21061 11.03 D 0 D Stock Option (Right-to-Buy) 9.12 2017-12-28 4 D 0 10000 1.91 D Common Stock 10000 0 D Stock Option (Right-to-Buy) 6.07 2017-12-28 4 D 0 50000 4.96 D Common Stock 50000 0 D Stock Option (Right-to-Buy) 7.05 2017-12-28 4 D 0 40000 3.98 D Common Stock 40000 0 D Stock Option (Right-to-Buy) 8.08 2017-12-28 4 D 0 10000 2.95 D Common Stock 10000 0 D Employee Stock Purchase Plan Shares 6.71 2017-12-28 4 D 0 181 4.07 D Common Stock 181 0 D Of the 21,061 shares, 15,863 shares were rolled over into equity of an affiliate of MGC Parent LLC and 5,198 shares were cashed out in connection with the merger agreement between the company, MGC Parent LLC and AC Breathe Merger Sub Inc. Reporting Person determined that he violated Section 16(b) in the rollover of 222 shares of stock issued effective June 30, 2017 under the MGC Diagnostics Corporation Employee Stock Purchase Plan. Reporting Person has paid the company $959.04 representing the entire amount of the Section 16(b) short-swing profit. This option vested fully on June 1, 2017 and was cancelled in connection with the merger agreement between the company, MGC Parent LLC and AC Breathe Merger Sub Inc. in exchange for a cash payout of $14,325. This option, which provided for vesting in three equal installments beginning June 1, 2016 and ending June 1, 2018 was cancelled in connection with the merger agreement between the company, MGC Parent LLC and AC Breathe Merger Sub Inc. in exchange for a cash payout of $248,000. This option, which provided for vesting in three equal installments beginning September 8, 2017 and ending September 8, 2019 was cancelled in connection with the merger agreement between the company, MGC Parent LLC and AC Breathe Merger Sub Inc. in exchange for a cash payment of $159,200. This option, which provided for vesting on August 30, 2018 was cancelled in connection with the merger agreement between the company, MGC Parent LLC and AC Breathe Merger Sub Inc. in exchange for a cash payout of $29,500. The shares that would have been issued under the phase that began July 1, 2017 were cancelled in connection with the merger agreement between the company, MGC Parent LLC and AC Breathe Merger Sub Inc. in exchange for a cash payout of $1,996.43. Suzette McNally, Attorney-in-Fact for Matthew Margolies 2018-01-02