Filing Details
- Accession Number:
- 0001494650-21-000111
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-09-17 13:57:08
- Reporting Period:
- 2021-09-15
- Accepted Time:
- 2021-09-17 13:57:08
- 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 | 2021-09-15 | 39,754 | $0.00 | 294,264 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-09-16 | 11,588 | $2.79 | 282,676 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-09-16 | 911 | $2.79 | 281,765 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2021-09-15 | 39,754 | $0.00 | 39,754 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 39,753 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 35,726 | Indirect | By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud |
Footnotes
- Represents the vesting of a restricted stock units (RSUs) granted on September 15, 2020. 50% of the RSUs subject to this award shall vest on September 15, 2021 and the balance shall vest on September 15, 2022, subject to the reporting person's continuous service through such vesting date.
- Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted share units granted on September 15, 2020. This sale is mandated by the issuer's award agreement under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
- Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted share units granted on March 6, 2020. This sale is mandated by the issuer's award agreement under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
- RSUs convert into common stock on a one-for-one basis.
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