Filing Details

Accession Number:
0001494650-20-000098
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-08-12 19:26:54
Reporting Period:
2020-08-10
Accepted Time:
2020-08-12 19:26:54
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 2020-08-10 4,140 $1.63 136,645 No 4 M Direct
Common Stock Disposition 2020-08-10 1,429 $7.00 135,216 No 4 S Direct
Common Stock Disposition 2020-08-10 977 $7.00 134,239 No 4 F Direct
Common Stock Acquisiton 2020-08-11 11,988 $1.63 146,227 No 4 M Direct
Common Stock Disposition 2020-08-11 4,138 $7.00 142,089 No 4 S Direct
Common Stock Disposition 2020-08-11 2,824 $7.00 139,265 No 4 F Direct
Common Stock Acquisiton 2020-08-10 2,562 $1.63 2,562 No 4 M Indirect By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock Disposition 2020-08-10 884 $7.00 1,678 No 4 S Indirect By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock Disposition 2020-08-10 603 $7.00 1,075 No 4 F Indirect By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock Acquisiton 2020-08-11 7,425 $1.63 8,500 No 4 M Indirect By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock Disposition 2020-08-11 2,562 $7.00 5,938 No 4 S Indirect By: Deed of Trust Peter K. Miller, dated October 13, 2014
Common Stock Disposition 2020-08-11 1,749 $7.00 4,189 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 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
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 2020-08-10 4,140 $0.00 4,140 $1.63
Common Stock Stock Option (Right to Buy) Disposition 2020-08-11 11,988 $0.00 11,988 $1.63
Common Stock Stock Option (Right to Buy) Disposition 2020-08-10 2,562 $0.00 2,562 $1.63
Common Stock Stock Option (Right to Buy) Disposition 2020-08-11 7,425 $0.00 7,425 $1.63
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
486,089 2021-02-11 No 4 M Direct
474,101 2021-02-11 No 4 M Direct
300,667 2021-02-11 No 4 M Indirect
293,242 2021-02-11 No 4 M Indirect
Footnotes
  1. 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 August 10, 2020, 4,140 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 1,734 shares of common stock, the cancellation of 977 option shares in satisfaction of the exercise price for such options and the sale of 1,429 shares to cover estimated withholding taxes in connection with such exercise.
  2. 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 August 11, 2020, 11,988 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 5,026 shares of common stock, the cancellation of 2,824 option shares in satisfaction of the exercise price for such options and the sale of 4,138 shares to cover estimated withholding taxes in connection with such exercise.
  3. The Deed of 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 August 10, 2020, 2,562 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 1,075 shares of common stock, the cancellation of 603 option shares in satisfaction of the exercise price for such options and the sale of 884 shares to cover estimated withholding taxes in connection with such exercise.
  4. Shares held by Deed of Trust of Peter K. Miller, dated October 13, 2014, the beneficiaries of which are Mr. Miller and his spouse.
  5. All option shares are exercisable.
  6. 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 August 11, 2020, 7,425 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 3,114 shares of common stock, the cancellation of 1,749 option shares in satisfaction of the exercise price for such options and the sale of 2,562 shares to cover estimated withholding taxes in connection with such exercise.