Intersect ENT, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-28: Reporting owner Wolbeck Amy; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-11-06: Reporting owner Stambaugh James; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-09-02: Reporting owner Stambaugh James; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-07-20: Reporting owner Stambaugh James; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-12-28 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,700 12,621 owned after | $0.72 exercise price | 2015-12-30 | |
| 2015-11-06 | Stambaugh James Officer (VP Clinical Affairs) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 3,062 owned after | $0.48 exercise price | 2015-11-10 | |
| 2015-09-02 | Stambaugh James Officer (VP Clinical Affairs) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 23,062 owned after | $0.48 exercise price | 2015-09-04 | |
| 2015-07-20 | Stambaugh James Officer (VP Clinical Affairs) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 27,062 owned after | $0.48 exercise price | 2015-07-21 | |
| 2015-06-04 | Tansey Casey M Director, 10% Owner | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $27.45 exercise price | 2015-06-05 | |
| 2015-06-04 | MOLL FREDERIC H Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $27.45 exercise price | 2015-06-05 | |
| 2015-06-04 | Mead Dana G Jr. Director, 10% Owner | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $27.45 exercise price | 2015-06-05 | |
| 2015-06-04 | Lucchese Cynthia L Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $27.45 exercise price | 2015-06-05 | |
| 2015-05-11 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80 18,321 owned after | $0.72 exercise price | 2015-05-11 | |
| 2015-04-13 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,401 0 owned after | $1.00 exercise price | 2015-04-15 | |
| 2015-04-13 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 0 owned after | $0.72 exercise price | 2015-04-15 | |
| 2015-04-13 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,099 18,401 owned after | $0.72 exercise price | 2015-04-15 | |
| 2015-04-08 | VERNON W ANTHONY Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $25.31 exercise price | 2015-04-10 | |
| 2015-04-08 | Gallahue Kieran Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $25.31 exercise price | 2015-04-10 | |
| 2015-03-11 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 4,401 owned after | $1.00 exercise price | 2015-03-13 | |
| 2015-02-12 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,099 12,401 owned after | $1.00 exercise price | 2015-02-13 | |
| 2015-02-02 | McKhann Chas Officer (Chief Commercial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $21.26 exercise price | 2015-02-03 | |
| 2015-01-26 | Binney Robert H Jr Officer (Vice President, Sales) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,300 81,200 owned after | $1.08 exercise price | 2015-01-28 | |
| 2015-01-21 | Wolbeck Amy Officer (VP, Reg. Affairs and Quality) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $21.06 exercise price | 2015-01-23 | |
| 2015-01-21 | Stimson Susan P Officer (Vice President, Marketing) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $21.06 exercise price | 2015-01-23 | |
| 2015-01-21 | Stambaugh James Officer (VP, Clinical and Reimbursement) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $21.06 exercise price | 2015-01-23 | |
| 2015-01-21 | Binney Robert H Jr Officer (Vice President, Sales) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $21.06 exercise price | 2015-01-23 | |
| 2015-01-21 | Kaufman Richard E Officer (SVP & Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $21.06 exercise price | 2015-01-23 | |
| 2015-01-21 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $21.06 exercise price | 2015-01-23 | |
| 2015-01-21 | Earnhardt Lisa D Director, Officer (President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $21.06 exercise price | 2015-01-23 |