Filing Details
- Accession Number:
- 0001494650-22-000098
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-20 17:30:01
- Reporting Period:
- 2022-09-15
- Accepted Time:
- 2022-09-20 17:30:01
- 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 | 2022-09-15 | 10,850 | $0.00 | 940,902 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2022-09-16 | 48,225 | $3.55 | 892,677 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-09-20 | 5,226 | $3.56 | 887,451 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 104,413 | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
Footnotes
- Represents the grant of performance-based restricted stock units (Performance RSUs) on March 6, 2020. Fifty percent (50%) of the Performance RSUs vested on June 15, 2022, upon achievement of certain milestones in connection with the Company's development programs. The balance vests in eight equal quarterly installments, subject to continued service with the Issuer. Each Performance RSU represents the right to receive one share of common stock of OptiNose, Inc.
- Includes 14,170 shares acquired under the Optinose, Inc. 2017 Employee Stock Purchase Plan on June 30, 2022 at a price of $1.50
- 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. This sale is mandated by the issuer's award agreement under its equity incentive plan 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.
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