Intersect ENT, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-10-17: Reporting owner Earnhardt Lisa D; Form 4; Security Stock Options (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-09-07: 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.
- 2016-09-06: 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.
- 2016-09-06: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-10-17 | Earnhardt Lisa D Director, Officer (President and CEO) | 4 | Stock Options (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400 56,975 owned after | $1.20 exercise price | 2016-10-19 | |
| 2016-09-07 | 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 | −8,664 2,113 owned after | $0.72 exercise price | 2016-09-08 | |
| 2016-09-06 | 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 | −7,624 10,777 owned after | $0.72 exercise price | 2016-09-08 | |
| 2016-09-06 | 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 | −12,376 2,344 owned after | $0.72 exercise price | 2016-09-08 | |
| 2016-08-03 | 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 | −3,977 10,716 owned after | $0.48 exercise price | 2016-08-05 | |
| 2016-07-18 | 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 | −3,062 0 owned after | $0.48 exercise price | 2016-07-19 | |
| 2016-07-18 | 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 | −1,938 14,693 owned after | $0.48 exercise price | 2016-07-19 | |
| 2016-06-27 | CARSCADDEN GWEN R. Officer (Chief People 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 | $12.19 exercise price | 2016-06-29 | |
| 2016-06-02 | Tansey Casey M Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $13.79 exercise price | 2016-06-06 | |
| 2016-06-02 | Mead Dana G Jr. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $13.79 exercise price | 2016-06-06 | |
| 2016-06-02 | VERNON W ANTHONY Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $13.79 exercise price | 2016-06-06 | |
| 2016-06-02 | GALLAHUE KIERAN Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $13.79 exercise price | 2016-06-06 | |
| 2016-06-02 | Lucchese Cynthia L Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $13.79 exercise price | 2016-06-06 | |
| 2016-06-02 | MOLL FREDERIC H Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $13.79 exercise price | 2016-06-06 | |
| 2016-04-27 | 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 | −2,000 14,720 owned after | $0.72 exercise price | 2016-04-28 | |
| 2016-04-18 | Earnhardt Lisa D Director, Officer (President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 57,375 owned after | $1.20 exercise price | 2016-04-19 | |
| 2016-04-15 | Earnhardt Lisa D Director, Officer (President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 61,375 owned after | $1.20 exercise price | 2016-04-19 | |
| 2016-03-03 | MOLL FREDERIC H Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $0.48 exercise price | 2016-03-07 | |
| 2016-02-22 | Lehman David Aaron Officer (General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 130,000 owned after | $18.00 exercise price | 2016-02-23 | |
| 2016-01-15 | McKhann Chas Officer (Chief Commercial Officer) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,000 55,000 owned after | $18.90 exercise price | 2016-01-20 | |
| 2016-01-15 | Wolbeck Amy Officer (V.P. Regulatory Affairs & Qlty) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $18.90 exercise price | 2016-01-20 | |
| 2016-01-15 | Stambaugh James Officer (VP Clinical Affairs) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $18.90 exercise price | 2016-01-20 | |
| 2016-01-15 | Kaufman Richard E Officer (See Remarks) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $18.90 exercise price | 2016-01-20 | |
| 2016-01-15 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $18.90 exercise price | 2016-01-20 | |
| 2016-01-15 | Earnhardt Lisa D Director, Officer (President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 81,375 owned after | $1.20 exercise price | 2016-01-20 | |
| 2016-01-15 | Earnhardt Lisa D Director, Officer (President and CEO) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $18.90 exercise price | 2016-01-20 |