Intersect ENT, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 70 rows, 70 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-07-29: Reporting owner Tansey Casey M; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner Tansey Casey M; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner Tansey Casey M; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-07-29: Reporting owner Tansey Casey M; Form 4; Security Series D Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-07-29 | Tansey Casey M Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −1,120,129 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | Tansey Casey M Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −817,034 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | Tansey Casey M Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −1,292,216 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | Tansey Casey M Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −746,054 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | ROOT JONATHAN D | Presidio Management Group IX, L.L.C. | FEDERMAN IRWIN | YOUNG PHILIP M | Matteucci Paul A | LIDDLE DAVID E | KRAUSZ STEVEN M | U S Venture Partners IX L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −1,120,129 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | ROOT JONATHAN D | Presidio Management Group IX, L.L.C. | FEDERMAN IRWIN | YOUNG PHILIP M | Matteucci Paul A | LIDDLE DAVID E | KRAUSZ STEVEN M | U S Venture Partners IX L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −817,034 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | ROOT JONATHAN D | Presidio Management Group IX, L.L.C. | FEDERMAN IRWIN | YOUNG PHILIP M | Matteucci Paul A | LIDDLE DAVID E | KRAUSZ STEVEN M | U S Venture Partners IX L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −1,292,216 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | ROOT JONATHAN D | Presidio Management Group IX, L.L.C. | FEDERMAN IRWIN | YOUNG PHILIP M | Matteucci Paul A | LIDDLE DAVID E | KRAUSZ STEVEN M | U S Venture Partners IX L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · Directly Owned by USVP IX | C Conversion of derivative security | −746,054 0 owned after | no price filed | 2014-07-30 | |
| 2014-07-29 | PTV SCIENCES II L P | Pinto Technology Ventures GP II, L.P. | Pinto TV GP CO LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −974,025 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | PTV SCIENCES II L P | Pinto Technology Ventures GP II, L.P. | Pinto TV GP CO LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,198,630 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | PTV SCIENCES II L P | Pinto Technology Ventures GP II, L.P. | Pinto TV GP CO LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −404,311 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Fletcher Mark J Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,010,274 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Fletcher Mark J Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −188,022 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | MOLL FREDERIC H Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −101,050 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | MOLL FREDERIC H Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −63,796 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | MOLL FREDERIC H Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −85,616 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | MOLL FREDERIC H Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −25,716 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Binney Robert H Jr Officer (Vice President, Sales) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,352 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Wolbeck Amy Officer (See Remarks) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,901 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Anderson Rick D Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −974,025 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Anderson Rick D Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,198,630 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Anderson Rick D Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −404,311 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KLEINER PERKINS CAUFIELD & BYERS XI B LP | KPCB XI Associates, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,120,129 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KLEINER PERKINS CAUFIELD & BYERS XI B LP | KPCB XI Associates, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −817,034 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KLEINER PERKINS CAUFIELD & BYERS XI B LP | KPCB XI Associates, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,292,216 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KLEINER PERKINS CAUFIELD & BYERS XI B LP | KPCB XI Associates, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −319,210 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Kaufman Richard E Officer (See Remarks) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −16,299 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Mead Dana G Jr. Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,120,129 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Mead Dana G Jr. Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −817,034 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Mead Dana G Jr. Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,292,216 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Mead Dana G Jr. Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −319,210 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | de Clercq Casper L. Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,124,492 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | de Clercq Casper L. Director, 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,124,492 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Norwest Venture Partners XII, LP | Norwest Venture Partners XI, LP | HAQUE PROMOD | Crowe Jeffrey | Howard Matthew D. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,124,492 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-29 | Norwest Venture Partners XII, LP | Norwest Venture Partners XI, LP | HAQUE PROMOD | Crowe Jeffrey | Howard Matthew D. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,124,492 0 owned after | $0.00 | 2014-07-29 | |
| 2014-07-28 holding as of filing | Fletcher Mark J Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-28 | ||
| 2014-07-28 holding as of filing | Fletcher Mark J Director | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-28 | ||
| 2014-07-23 holding as of filing | Tansey Casey M Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Tansey Casey M Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Tansey Casey M Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Tansey Casey M Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | U S Venture Partners IX L P | Matteucci Paul A | LIDDLE DAVID E | ROOT JONATHAN D | YOUNG PHILIP M | FEDERMAN IRWIN | KRAUSZ STEVEN M | Presidio Management Group IX, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | U S Venture Partners IX L P | Matteucci Paul A | LIDDLE DAVID E | ROOT JONATHAN D | YOUNG PHILIP M | FEDERMAN IRWIN | KRAUSZ STEVEN M | Presidio Management Group IX, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | U S Venture Partners IX L P | Matteucci Paul A | LIDDLE DAVID E | ROOT JONATHAN D | YOUNG PHILIP M | FEDERMAN IRWIN | KRAUSZ STEVEN M | Presidio Management Group IX, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | U S Venture Partners IX L P | Matteucci Paul A | LIDDLE DAVID E | ROOT JONATHAN D | YOUNG PHILIP M | FEDERMAN IRWIN | KRAUSZ STEVEN M | Presidio Management Group IX, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · Directly owned by USVP IX | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KPCB XI Associates, LLC | KLEINER PERKINS CAUFIELD & BYERS XI B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KPCB XI Associates, LLC | KLEINER PERKINS CAUFIELD & BYERS XI B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KPCB XI Associates, LLC | KLEINER PERKINS CAUFIELD & BYERS XI B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | KLEINER PERKINS CAUFIELD & BYERS XI-A LP | KPCB XI Associates, LLC | KLEINER PERKINS CAUFIELD & BYERS XI B LP 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Mead Dana G Jr. Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Mead Dana G Jr. Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Mead Dana G Jr. Director | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Mead Dana G Jr. Director | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Anderson Rick D Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Anderson Rick D Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Anderson Rick D Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Pinto TV GP CO LLC | Crawford Matthew S | Pinto Technology Ventures GP II, L.P. | PTV SCIENCES II L P | Anderson Rick D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Pinto TV GP CO LLC | Crawford Matthew S | Pinto Technology Ventures GP II, L.P. | PTV SCIENCES II L P | Anderson Rick D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Pinto TV GP CO LLC | Crawford Matthew S | Pinto Technology Ventures GP II, L.P. | PTV SCIENCES II L P | Anderson Rick D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | MOLL FREDERIC H Director | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | MOLL FREDERIC H Director | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | MOLL FREDERIC H Director | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | MOLL FREDERIC H Director | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Norwest Venture Partners XII, LP | Norwest Venture Partners XI, LP | HAQUE PROMOD | Howard Matthew D. | Crowe Jeffrey 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Norwest Venture Partners XII, LP | Norwest Venture Partners XI, LP | HAQUE PROMOD | Howard Matthew D. | Crowe Jeffrey 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | de Clercq Casper L. Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | de Clercq Casper L. Director, 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Binney Robert H Jr Officer (Vice President, Sales) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Kaufman Richard E Officer (See Remarks) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 | ||
| 2014-07-23 holding as of filing | Wolbeck Amy Officer (See Remarks) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-07-23 |