Filing Details
- Accession Number:
- 0001494650-20-000098
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-12 19:26:54
- Reporting Period:
- 2020-08-10
- Accepted Time:
- 2020-08-12 19:26:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1494650 | Optinose Inc. | OPTN | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1493024 | K Peter Miller | C/O Optinose, Inc. 1020 Stony Hill Road, Suite 300 Yardley PA 19067 | Chief Executive Officer | Yes | Yes | 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 | 2020-08-10 | 4,140 | $1.63 | 136,645 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-08-10 | 1,429 | $7.00 | 135,216 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-08-10 | 977 | $7.00 | 134,239 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-08-11 | 11,988 | $1.63 | 146,227 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-08-11 | 4,138 | $7.00 | 142,089 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-08-11 | 2,824 | $7.00 | 139,265 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-08-10 | 2,562 | $1.63 | 2,562 | No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-08-10 | 884 | $7.00 | 1,678 | No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-08-10 | 603 | $7.00 | 1,075 | No | 4 | F | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Acquisiton | 2020-08-11 | 7,425 | $1.63 | 8,500 | No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-08-11 | 2,562 | $7.00 | 5,938 | No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-08-11 | 1,749 | $7.00 | 4,189 | No | 4 | F | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| No | 4 | F | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| No | 4 | F | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-10 | 4,140 | $0.00 | 4,140 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-11 | 11,988 | $0.00 | 11,988 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-10 | 2,562 | $0.00 | 2,562 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-11 | 7,425 | $0.00 | 7,425 | $1.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 486,089 | 2021-02-11 | No | 4 | M | Direct | |
| 474,101 | 2021-02-11 | No | 4 | M | Direct | |
| 300,667 | 2021-02-11 | No | 4 | M | Indirect | |
| 293,242 | 2021-02-11 | No | 4 | M | Indirect |
Footnotes
- The reporting person previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 10, 2020, 4,140 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 1,734 shares of common stock, the cancellation of 977 option shares in satisfaction of the exercise price for such options and the sale of 1,429 shares to cover estimated withholding taxes in connection with such exercise.
- The reporting person previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 11, 2020, 11,988 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 5,026 shares of common stock, the cancellation of 2,824 option shares in satisfaction of the exercise price for such options and the sale of 4,138 shares to cover estimated withholding taxes in connection with such exercise.
- The Deed of Trust of Peter K. Miller (the "Trust") previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 10, 2020, 2,562 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 1,075 shares of common stock, the cancellation of 603 option shares in satisfaction of the exercise price for such options and the sale of 884 shares to cover estimated withholding taxes in connection with such exercise.
- Shares held by Deed of Trust of Peter K. Miller, dated October 13, 2014, the beneficiaries of which are Mr. Miller and his spouse.
- All option shares are exercisable.
- The Deed Trust of Peter K. Miller (the "Trust") previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 11, 2020, 7,425 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 3,114 shares of common stock, the cancellation of 1,749 option shares in satisfaction of the exercise price for such options and the sale of 2,562 shares to cover estimated withholding taxes in connection with such exercise.
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