Filing Details
- Accession Number:
- 0001494650-20-000142
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-20 16:11:15
- Reporting Period:
- 2020-11-18
- Accepted Time:
- 2020-11-20 16:11:15
- 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 | 2020-11-18 | 8,091 | $1.63 | 147,356 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-18 | 2,454 | $5.00 | 144,902 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-18 | 2,669 | $5.00 | 142,233 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-19 | 3,471 | $1.63 | 145,704 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-19 | 1,059 | $5.06 | 144,645 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-19 | 1,135 | $5.06 | 143,510 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-18 | 5,005 | $1.63 | 9,194 | No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-18 | 1,518 | $5.00 | 7,676 | No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-18 | 1,631 | $5.00 | 6,045 | No | 4 | F | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Acquisiton | 2020-11-19 | 2,147 | $1.63 | 8,192 | No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-19 | 655 | $5.06 | 7,537 | No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-19 | 691 | $5.06 | 6,846 | 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 | 2020-11-18 | 8,091 | $0.00 | 8,091 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-19 | 3,471 | $0.00 | 3,471 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-18 | 5,005 | $0.00 | 5,005 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-19 | 2,147 | $0.00 | 2,147 | $1.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 466,010 | 2021-02-11 | No | 4 | M | Direct | |
| 462,539 | 2021-02-11 | No | 4 | M | Direct | |
| 288,237 | 2021-02-11 | No | 4 | M | Indirect | |
| 286,090 | 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 November 18, 2020, 8,091 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 2,968 shares of common stock, the cancellation of 2,669 option shares in satisfaction of the exercise price for such options and the sale of 2,454 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 November 19, 2020, 3,471 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 1,277 shares of common stock, the cancellation of 1,135 option shares in satisfaction of the exercise price for such options and the sale of 1,059 shares to cover estimated withholding taxes in connection with such exercise.
- 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 November 18, 2020, 5,005 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 1,856 shares of common stock, the cancellation of 1,631 option shares in satisfaction of the exercise price for such options and the sale of 1,518 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.
- 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 November 19, 2020, 2,147 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 801 shares of common stock, the cancellation of 691 option shares in satisfaction of the exercise price for such options and the sale of 655 shares to cover estimated withholding taxes in connection with such exercise.
- All options are exercisable.
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