Filing Details
- Accession Number:
- 0001562180-16-003251
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-19 20:04:17
- Reporting Period:
- 2016-10-17
- Filing Date:
- 2016-10-19
- Accepted Time:
- 2016-10-19 20:04:17
- 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 | 2016-10-17 | 400 | $1.20 | 557,268 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-10-17 | 400 | $18.00 | 556,868 | 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 Options (Right to buy) | Disposition | 2016-10-17 | 400 | $0.00 | 400 | $1.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 56,975 | 2023-04-22 | No | 4 | M | 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.
- 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.
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