Home > Insider Trading > Filing (0001494650-20-000162)

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	2020-12-23	140,068	$1.63	395,085	No	4	M	Direct
Common Stock	Disposition	2020-12-23	38,591	$4.03	356,494	No	4	S	Direct
Common Stock	Disposition	2020-12-23	56,084	$4.03	300,410	No	4	F	Direct
Common Stock	Acquisiton	2020-12-23	86,639	$1.63	162,359	No	4	M	Indirect	By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock	Disposition	2020-12-23	23,863	$4.03	138,496	No	4	S	Indirect	By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock	Disposition	2020-12-23	34,083	$4.03	104,413	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	2020-12-23	140,068	$0.00	140,068	$1.63
Common Stock	Stock Option (Right to Buy)	Disposition	2020-12-23	86,639	$0.00	86,639	$1.63

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2021-02-11	No	4	M	Direct
0		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 23, 2020, 140,068 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 45,393 shares of common stock, the cancellation of 56,084 option shares in satisfaction of the exercise price for such options and the sale of 38,591 shares to cover estimated withholding taxes in connection with and exercise price of 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 23, 2020, 86,639 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 23,693 shares of common stock, the cancellation of 34,083 option shares in satisfaction of the exercise price for such options and the sale of 23,863 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.