Filing Details
- Accession Number:
- 0001562180-16-001352
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-01-20 17:40:54
- Reporting Period:
- 2016-01-15
- Filing Date:
- 2016-01-20
- Accepted Time:
- 2016-01-20 17:40:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1271214 | Intersect Ent Inc. | XENT | Surgical & Medical Instruments & Apparatus (3841) | 200280837 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1530893 | D Lisa Earnhardt | C/O Intersect Ent, Inc. 1555 Adams Drive Menlo Park CA 94025 | President And Ceo | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-01-15 | 8,000 | $1.20 | 582,868 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-01-15 | 12,500 | $19.26 | 570,368 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2016-01-15 | 8,000 | $0.00 | 8,000 | $1.20 |
| Common Stock | Stock Options (Right to buy) | Acquisiton | 2016-01-15 | 225,000 | $0.00 | 225,000 | $18.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 81,375 | 2023-04-22 | No | 4 | M | Direct | |
| 225,000 | 2026-01-14 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 26,182 | Indirect | See footnote |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 11, 2015.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.09 to $19.37, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- Shares in the name of Lisa Damkroger Earnhardt C/F Jack L. Earnhardt UTMA/CA Until Age 25 for the benefit of Reporting Person's son. Reporting Person disclaims beneficial ownership of these shares.
- The shares subject to the option vest commencing April 23, 2013 in monthly equal installments over four years.
- The shares subject to the option vest commencing January 1, 2016 in equal monthly installments over four years.
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