Filing Details
- Accession Number:
- 0001494650-20-000147
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-25 19:27:59
- Reporting Period:
- 2020-11-23
- Accepted Time:
- 2020-11-25 19:27:59
- 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 | 2020-11-23 | 129,021 | $1.63 | 272,531 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-23 | 37,027 | $4.50 | 235,504 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-23 | 47,150 | $4.50 | 188,354 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-23 | 62,488 | $1.63 | 69,334 | No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-23 | 17,933 | $4.50 | 51,401 | No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-23 | 22,836 | $4.50 | 28,565 | No | 4 | F | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Acquisiton | 2020-11-24 | 33,653 | $1.63 | 222,007 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-24 | 9,515 | $4.39 | 212,492 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-23 | 12,617 | $4.39 | 199,875 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-24 | 16,302 | $1.63 | 44,867 | No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-24 | 4,609 | $4.39 | 40,258 | No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-24 | 6,112 | $4.39 | 34,146 | No | 4 | F | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Acquisiton | 2020-11-25 | 37,985 | $1.63 | 237,860 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-25 | 10,617 | $4.30 | 227,243 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-25 | 14,515 | $4.30 | 212,728 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-11-25 | 18,393 | $1.63 | 52,539 | No | 4 | M | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-25 | 5,141 | $4.30 | 47,398 | No | 4 | S | Indirect | By: Deed of Trust Peter K. Miller, dated October 13, 2014 |
| Common Stock | Disposition | 2020-11-25 | 7,028 | $4.30 | 40,370 | 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 | 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 | 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 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-23 | 129,021 | $0.00 | 129,021 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-23 | 62,488 | $0.00 | 62,488 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-24 | 33,653 | $0.00 | 33,653 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-24 | 16,302 | $0.00 | 16,302 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-25 | 37,985 | $0.00 | 37,985 | $1.63 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-25 | 18,393 | $0.00 | 18,393 | $1.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 333,518 | 2021-02-11 | No | 4 | M | Direct | |
| 223,602 | 2021-02-11 | No | 4 | M | Indirect | |
| 299,865 | 2021-02-11 | No | 4 | M | Direct | |
| 207,300 | 2021-02-11 | No | 4 | M | Indirect | |
| 261,880 | 2021-02-11 | No | 4 | M | Direct | |
| 188,907 | 2021-02-11 | No | 4 | M | Indirect |
Footnotes
- 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//21. On November 23, 2020, 129,021 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 44,844 shares of common stock, the cancellation of 47,150 option shares in satisfaction of the exercise price for such options and the sale of 37,027 shares to cover estimated withholding taxes in connection with such exercise.
- 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 November 23, 2020, 62,488 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 21,719 shares of common stock, the cancellation of 22,836 option shares in satisfaction of the exercise price for such options and the sale of 17,933 shares to cover estimated withholding taxes in connection with such exercise.
- Shares held by Deed of Trust of Peter K. Miller, dated October 13, 2014, the beneficiaries of which are Mr. Miller and his spouse.
- 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 November 24, 2020, 33,653 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 11,521 shares of common stock, the cancellation of 12,617 option shares in satisfaction of the exercise price for such options and the sale of 9,515 shares to cover estimated withholding taxes in connection with such exercise.
- 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 November 24, 2020, 16,302 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 5,581 shares of common stock, the cancellation of 6,112 option shares in satisfaction of the exercise price for such options and the sale of 4,609 shares to cover estimated withholding taxes in connection with such exercise.
- 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 November 25, 2020, 37,985 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 12,853 shares of common stock, the cancellation of 14,515 option shares in satisfaction of the exercise price for such options and the sale of 10,617 shares to cover estimated withholding taxes in connection with such exercise.
- 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 November 25, 2020, 18,393 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 6,224 shares of common stock, the cancellation of 7,028 option shares in satisfaction of the exercise price for such options and the sale of 5,141 shares to cover estimated withholding taxes in connection with such exercise.
- All option shares are exercisable.
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