Filing Details
- Accession Number:
- 0000899243-22-034604
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-10-31 21:16:01
- Reporting Period:
- 2022-07-20
- Accepted Time:
- 2022-10-31 21:16:01
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1531978 | Paragon 28 Inc. | FNA | Surgical & Medical Instruments & Apparatus (3841) | 273170186 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1938249 | Lee Rosenthal | C/O Paragon 28, Inc. 14445 Grasslands Dive Englewood CO 80112 | No | No | Yes | 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 | 2022-07-20 | 42,865 | $0.60 | 1,185,300 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-07-20 | 42,865 | $18.63 | 1,142,435 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-20 | 71,061 | $18.68 | 1,071,374 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-07-21 | 32,135 | $0.60 | 1,103,509 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-07-21 | 25,000 | $0.60 | 1,128,509 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-07-21 | 1,036 | $1.20 | 1,129,545 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-07-21 | 58,171 | $18.48 | 1,071,374 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-21 | 27,838 | $18.47 | 1,043,536 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-22 | 5,000 | $0.00 | 1,038,536 | No | 4 | G | Direct | |
| Common Stock | Disposition | 2022-07-22 | 1,541 | $18.29 | 1,036,995 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-07-25 | 20,813 | $1.20 | 1,057,808 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-07-25 | 20,813 | $18.53 | 1,036,995 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-25 | 37,292 | $18.51 | 999,703 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-07-26 | 28,151 | $1.20 | 1,027,854 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-07-26 | 21,849 | $4.60 | 1,049,703 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-07-26 | 50,000 | $18.86 | 999,703 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-26 | 6,296 | $18.90 | 993,407 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-07-27 | 28,151 | $4.60 | 1,021,558 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-07-27 | 17,962 | $5.40 | 1,039,520 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-07-27 | 46,113 | $19.44 | 993,407 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-27 | 84,131 | $19.29 | 909,276 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-07-28 | 100 | $5.40 | 909,376 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-07-28 | 100 | $19.54 | 909,276 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-28 | 5,080 | $19.03 | 904,196 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-07-29 | 1,290 | $19.00 | 902,906 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-08-01 | 6,372 | $19.02 | 896,534 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-08-03 | 73,408 | $19.32 | 823,126 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-08-04 | 39,937 | $19.56 | 783,189 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-08-05 | 119,466 | $19.56 | 663,723 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-08-05 | 29,748 | $5.40 | 693,471 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | G | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
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| No | 4 | S | Direct | |
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| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-20 | 42,865 | $0.00 | 42,865 | $0.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-21 | 32,135 | $0.00 | 32,135 | $0.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-21 | 25,000 | $0.00 | 25,000 | $0.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-21 | 1,036 | $0.00 | 1,036 | $1.20 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-25 | 20,813 | $0.00 | 20,813 | $1.20 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-26 | 28,151 | $0.00 | 28,151 | $1.20 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-26 | 21,849 | $0.00 | 21,849 | $4.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-27 | 28,151 | $0.00 | 28,151 | $4.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-27 | 17,962 | $0.00 | 17,962 | $5.40 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-07-28 | 100 | $0.00 | 100 | $5.40 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-08-05 | 29,748 | $0.00 | 29,748 | $5.40 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-08-08 | 2,190 | $0.00 | 2,190 | $5.40 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-08-08 | 25,000 | $0.00 | 25,000 | $6.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-08-08 | 12,500 | $0.00 | 12,500 | $6.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 32,135 | 2025-01-01 | No | 4 | M | Direct | |
| 0 | 2025-01-01 | No | 4 | M | Direct | |
| 0 | 2025-12-31 | No | 4 | M | Direct | |
| 48,964 | 2026-12-31 | No | 4 | M | Direct | |
| 28,151 | 2026-12-31 | No | 4 | M | Direct | |
| 0 | 2026-12-31 | No | 4 | M | Direct | |
| 28,151 | 2027-12-31 | No | 4 | M | Direct | |
| 0 | 2027-12-31 | No | 4 | M | Direct | |
| 32,038 | 2028-12-31 | No | 4 | M | Direct | |
| 31,938 | 2028-12-31 | No | 4 | M | Direct | |
| 2,190 | 2028-12-31 | No | 4 | M | Direct | |
| 0 | 2028-12-31 | No | 4 | M | Direct | |
| 0 | 2029-12-31 | No | 4 | M | Direct | |
| 12,500 | 2030-12-31 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.60 to $18.82 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.35 to $18.975 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.45 to $18.63 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.33 to $18.625 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.03 to $18.58 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.50 to $18.645 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.45 to $18.64 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.85 to $18.91 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.25 to $19.59 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.905 to $19.60 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.51 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.06 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.60 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $20.00 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.7775 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The option is fully vested and exercisable.
- 50% of the shares subject to the option vest annually measured from December 31, 2020 (the 'Vesting Commencement Date'), such that 100% of the shares subject to the option will be fully vested and exercisable on the second anniversary of the Vesting Commencement Date.
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