Filing Details
- Accession Number:
- 0001494650-20-000099
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-12 19:27:21
- Reporting Period:
- 2020-08-10
- Accepted Time:
- 2020-08-12 19:27:21
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1494650 | Optinose Inc. | OPTN | Pharmaceutical Preparations (2834) | 421771610 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1718725 | A Ramy Mahmoud | C/O Optinose, Inc. 1020 Stony Hill Road, Suite 300 Yardley PA 19067 | President And Coo | No | 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 | 5,022 | $1.63 | 60,637 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-08-10 | 1,733 | $7.00 | 58,904 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-08-10 | 1,185 | $7.00 | 57,719 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-08-11 | 14,549 | $1.63 | 72,268 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-08-11 | 5,022 | $7.00 | 67,246 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-08-11 | 3,427 | $7.00 | 63,819 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-08-10 | 1,682 | $1.63 | 1,682 | No | 4 | M | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-08-10 | 580 | $7.00 | 1,102 | No | 4 | S | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-08-10 | 396 | $7.00 | 706 | No | 4 | F | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Acquisiton | 2020-08-11 | 4,861 | $1.63 | 5,567 | No | 4 | M | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-08-11 | 1,678 | $7.00 | 3,889 | No | 4 | S | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-08-11 | 1,145 | $7.00 | 2,744 | No | 4 | F | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| 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: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| No | 4 | S | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| No | 4 | F | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| No | 4 | M | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| No | 4 | S | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| No | 4 | F | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
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 | 5,022 | $0.00 | 5,022 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-11 | 14,549 | $0.00 | 14,549 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-10 | 1,682 | $0.00 | 1,682 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-08-11 | 4,861 | $0.00 | 4,861 | $1.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 292,524 | 2021-02-11 | No | 4 | M | Direct | |
| 277,975 | 2021-02-11 | No | 4 | M | Direct | |
| 97,500 | 2021-02-11 | No | 4 | M | Indirect | |
| 92,639 | 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 11, 2020, 5,022 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 2,104 shares of common stock, the cancellation of 1,185 option shares in satisfaction of the exercise price for such options and the sale of 1,733 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, 14,549 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 6,100 shares of common stock, the cancellation of 3,427 option shares in satisfaction of the exercise price for such options and the sale of 5,022 shares to cover estimated withholding taxes in connection with such exercise.
- The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud (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, 1,682 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 706 shares of common stock, the cancellation of 396 option shares in satisfaction of the exercise price for such options and the sale of 580 shares to cover estimated withholding taxes in connection with such exercise.
- Shares held by The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud, the beneficiary of which is Dr. Mahmoud's spouse.
- The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud (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, 4,861 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 2,038 shares of common stock, the cancellation of 1,145 option shares in satisfaction of the exercise price for such options and the sale of 1,678 shares to cover estimated withholding taxes in connection with such exercise.
- All option shares are exercisable.
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