Filing Details
- Accession Number:
- 0001494650-20-000143
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-20 16:11:34
- Reporting Period:
- 2020-11-18
- Accepted Time:
- 2020-11-20 16:11:34
- 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 | 2020-11-18 | 9,819 | $1.63 | 73,638 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-18 | 2,978 | $5.00 | 70,660 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-18 | 3,237 | $5.00 | 67,423 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-19 | 4,212 | $1.63 | 71,635 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-19 | 1,285 | $5.06 | 70,350 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-19 | 1,368 | $5.06 | 68,982 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-18 | 3,278 | $1.63 | 6,022 | No | 4 | M | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-11-18 | 994 | $5.00 | 5,028 | No | 4 | S | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-11-18 | 1,069 | $5.00 | 3,959 | No | 4 | F | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Acquisiton | 2020-11-19 | 1,406 | $1.63 | 5,365 | No | 4 | M | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-11-19 | 429 | $5.06 | 4,936 | No | 4 | M | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
| Common Stock | Disposition | 2020-11-19 | 453 | $5.06 | 4,483 | 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 | M | 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 | 2020-11-18 | 9,819 | $0.00 | 9,819 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-19 | 4,212 | $0.00 | 4,212 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-18 | 3,278 | $0.00 | 3,278 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-19 | 1,406 | $0.00 | 1,406 | $1.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 268,156 | 2021-02-11 | No | 4 | M | Direct | |
| 263,944 | 2021-02-11 | No | 4 | M | Direct | |
| 89,361 | 2021-02-11 | No | 4 | M | Indirect | |
| 87,955 | 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, 9,819 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 3,604 shares of common stock, the cancellation of 3,237 option shares in satisfaction of the exercise price for such options and the sale of 2,978 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, 4,212 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 1,559 shares of common stock, the cancellation of 1,368 option shares in satisfaction of the exercise price for such options and the sale of 1,285 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 November 18, 2020, 3,278 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 1,215 shares of common stock, the cancellation of 1,069 option shares in satisfaction of the exercise price for such options and the sale of 994 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 November 19, 2020, 1,406 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 524 shares of common stock, the cancellation of 453 option shares in satisfaction of the exercise price for such options and the sale of 429 shares to cover estimated withholding taxes in connection with such exercise.
- All option shares are exercisable.
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