Intersect ENT, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 37 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-15: Reporting owner Earnhardt Lisa D; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-12-11: Reporting owner Lehman David Aaron; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-12-04: Reporting owner HILLEMAN JERYL L; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-15: Reporting owner Earnhardt Lisa D; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-12-15 | 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 | −2,000 6,016 owned after | $1.20 exercise price | 2017-12-18 | |
| 2017-12-11 | Lehman David Aaron Officer (General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,000 94,000 owned after | $18.00 exercise price | 2017-12-13 | |
| 2017-12-04 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,833 98,000 owned after | $11.12 exercise price | 2017-12-05 | |
| 2017-11-15 | 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 | −10,000 8,016 owned after | $1.20 exercise price | 2017-11-17 | |
| 2017-11-06 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,833 110,833 owned after | $11.12 exercise price | 2017-11-06 | |
| 2017-10-16 | 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 | −10,000 18,016 owned after | $1.20 exercise price | 2017-10-17 | |
| 2017-10-04 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,833 123,666 owned after | $11.12 exercise price | 2017-10-05 | |
| 2017-09-15 | 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 | −10,000 28,016 owned after | $1.20 exercise price | 2017-09-19 | |
| 2017-09-05 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,833 136,499 owned after | $11.12 exercise price | 2017-09-06 | |
| 2017-08-15 | 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 | −10,000 38,016 owned after | $1.20 exercise price | 2017-08-17 | |
| 2017-08-04 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,833 149,332 owned after | $11.12 exercise price | 2017-08-07 | |
| 2017-08-01 | Kline Teresa L. Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,787 13,787 owned after | $27.55 exercise price | 2017-08-03 | |
| 2017-07-27 | Parker Drake R. Officer (Chief Business 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 | $27.30 exercise price | 2017-07-31 | |
| 2017-07-17 | 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 | −10,000 48,016 owned after | $1.20 exercise price | 2017-07-18 | |
| 2017-07-10 | HILLEMAN JERYL L Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,835 162,165 owned after | $11.12 exercise price | 2017-07-12 | |
| 2017-06-15 | 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 | −7,375 0 owned after | $1.20 exercise price | 2017-06-19 | |
| 2017-06-15 | 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 | −2,625 58,016 owned after | $1.20 exercise price | 2017-06-19 | |
| 2017-06-01 | Mead Dana G Jr. Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,035 6,035 owned after | $26.05 exercise price | 2017-06-05 | |
| 2017-06-01 | VERNON W ANTHONY Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,035 6,035 owned after | $26.05 exercise price | 2017-06-05 | |
| 2017-06-01 | Tansey Casey M Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,035 6,035 owned after | $26.05 exercise price | 2017-06-05 | |
| 2017-06-01 | MOLL FREDERIC H Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,035 6,035 owned after | $26.05 exercise price | 2017-06-05 | |
| 2017-06-01 | Lucchese Cynthia L Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,035 6,035 owned after | $26.05 exercise price | 2017-06-05 | |
| 2017-06-01 | GALLAHUE KIERAN Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,035 6,035 owned after | $26.05 exercise price | 2017-06-05 | |
| 2017-05-15 | 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 | −10,000 7,375 owned after | $1.20 exercise price | 2017-05-16 | |
| 2017-04-17 | 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 | −10,000 17,375 owned after | $1.20 exercise price | 2017-04-18 | |
| 2017-03-15 | 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 | −10,000 27,375 owned after | $1.20 exercise price | 2017-03-16 | |
| 2017-02-15 | 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 37,375 owned after | $1.20 exercise price | 2017-02-17 | |
| 2017-01-18 | Lehman David Aaron Officer (General Counsel) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +42,000 42,000 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | CARSCADDEN GWEN R. Officer (Chief People Officer) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,000 21,000 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | 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) | +70,000 70,000 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | Kaufman Richard E Officer (Sr VP& Chief Operating Officer) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +42,000 42,000 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | 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) | +252,000 252,000 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | VERNON W ANTHONY Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,570 7,570 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | Tansey Casey M Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,570 7,570 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | MOLL FREDERIC H Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,570 7,570 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | Lucchese Cynthia L Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,570 7,570 owned after | $13.05 exercise price | 2017-01-20 | |
| 2017-01-18 | GALLAHUE KIERAN Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,248 13,248 owned after | $13.05 exercise price | 2017-01-20 |