Home > Insider Trading > Filing (0001494650-20-000157)

Filing Details

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	2020-12-02	121,812	$1.63	334,540	No	4	M	Direct
Common Stock	Disposition	2020-12-02	41,470	$4.33	293,070	No	4	S	Direct
Common Stock	Disposition	2020-12-02	38,053	$4.33	255,017	No	4	F	Direct
Common Stock	Acquisiton	2020-12-02	102,268	$1.63	142,638	No	4	M	Indirect	By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock	Disposition	2020-12-02	33,330	$4.32	109,308	No	4	S	Indirect	By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock	Disposition	2020-12-02	33,588	$4.32	75,720	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	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	2020-12-02	121,812	$0.00	121,812	$1.63
Common Stock	Stock Option (Right to Buy)	Disposition	2020-12-02	102,268	$0.00	102,268	$1.63

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
140,068		2021-02-11	No	4	M	Direct
86,639		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 December 2, 2020, 121,812 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 42,289 shares of common stock, the cancellation of 38,053 option shares in satisfaction of the exercise price for certain of the options and the sale of 41,470 shares to cover payment of the exercise price for certain of the options and 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 December 1, 2020, 102,268 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 35,350 shares of common stock, the cancellation of 33,588 option shares in satisfaction of the exercise price for certain of the options and the sale of 33,330 shares to cover payment of the exercise price for certain of the options and 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.