Filing Details

Accession Number:
0001494650-23-000101
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-12-20 12:20:16
Reporting Period:
2023-12-15
Accepted Time:
2023-12-20 12:20:16
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
1502700 Iii F Michael Marino C/O Optinose, Inc.
1020 Stony Hill Road, Suite 300
Yardley PA 19067
Chief Legal Officer & Corp Sec 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 2023-12-15 3,817 $0.00 338,516 No 4 A Direct
Common Stock Disposition 2023-12-18 5,005 $1.15 333,511 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
Footnotes
  1. Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on March 6, 2020. Fifty percent (50%) of the Performance RSUs vested on June 15, 2022, upon achievement of certainmilestones 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 toreceive one share of common stock of OptiNose, Inc.
  2. 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 under multiple award agreements. This sale ismandated 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 bythe reporting person.