Intersect ENT, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 45 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-31: Reporting owner Stimson Susan P; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-12-20: 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.
- 2018-12-17: 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.
- 2018-11-15: 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-12-31 | Stimson Susan P Officer (Chief Strategy Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,938 owned after | $1.20 exercise price | 2019-01-03 | |
| 2018-12-20 | 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 | −35,000 54,349 owned after | $1.20 exercise price | 2018-12-26 | |
| 2018-12-17 | 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 | −5,000 157,000 owned after | $13.05 exercise price | 2018-12-19 | |
| 2018-11-15 | 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 | −5,000 162,000 owned after | $13.05 exercise price | 2018-11-19 | |
| 2018-11-07 holding as of filing | Stimson Susan P Officer (Chief Strategy Officer) | 3 | Stock Options (Right to buy) Derivative · Direct | Holding | $35.90 exercise price | 2018-11-07 | ||
| 2018-11-07 holding as of filing | Stimson Susan P Officer (Chief Strategy Officer) | 3 | Stock Options (Right to buy) Derivative · Direct | Holding | $21.06 exercise price | 2018-11-07 | ||
| 2018-11-07 holding as of filing | Stimson Susan P Officer (Chief Strategy Officer) | 3 | Stock Options (Right to buy) Derivative · Direct | Holding | $18.90 exercise price | 2018-11-07 | ||
| 2018-11-07 holding as of filing | Stimson Susan P Officer (Chief Strategy Officer) | 3 | Stock Options (Right to buy) Derivative · Direct | Holding | $13.05 exercise price | 2018-11-07 | ||
| 2018-11-07 holding as of filing | Stimson Susan P Officer (Chief Strategy Officer) | 3 | Stock Options (Right to buy) Derivative · Direct | Holding | $1.20 exercise price | 2018-11-07 | ||
| 2018-11-01 | Kowalski Christine R Officer (Chief Operations Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $29.28 exercise price | 2018-11-02 | |
| 2018-10-15 | 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 | −5,000 167,000 owned after | $13.05 exercise price | 2018-10-17 | |
| 2018-10-08 | 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 | −4,666 65,334 owned after | $13.05 exercise price | 2018-10-10 | |
| 2018-10-08 | 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 | −8,167 0 owned after | $11.12 exercise price | 2018-10-10 | |
| 2018-09-17 | 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 | −5,000 172,000 owned after | $13.05 exercise price | 2018-09-19 | |
| 2018-09-14 | 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 8,167 owned after | $11.12 exercise price | 2018-09-18 | |
| 2018-08-15 | 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 | −5,000 177,000 owned after | $13.05 exercise price | 2018-08-17 | |
| 2018-07-16 | 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 | −5,000 182,000 owned after | $13.05 exercise price | 2018-07-18 | |
| 2018-07-10 | Kaufman Richard E Officer (Sr VP& Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 35,000 owned after | $13.05 exercise price | 2018-07-12 | |
| 2018-06-15 | 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 | −5,000 187,000 owned after | $13.05 exercise price | 2018-06-19 | |
| 2018-06-05 | 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 21,000 owned after | $11.12 exercise price | 2018-06-07 | |
| 2018-06-05 | GALLAHUE KIERAN Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,473 3,473 owned after | $42.05 exercise price | 2018-06-07 | |
| 2018-06-05 | Lucchese Cynthia L Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,473 3,473 owned after | $42.05 exercise price | 2018-06-07 | |
| 2018-06-05 | MOLL FREDERIC H Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,473 3,473 owned after | $42.05 exercise price | 2018-06-07 | |
| 2018-06-05 | Kline Teresa L. Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,473 3,473 owned after | $42.05 exercise price | 2018-06-07 | |
| 2018-06-05 | VERNON W ANTHONY Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,473 3,473 owned after | $42.05 exercise price | 2018-06-07 | |
| 2018-06-05 | 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) | +3,473 3,473 owned after | $42.05 exercise price | 2018-06-07 | |
| 2018-05-15 | 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 | −15,000 192,000 owned after | $13.05 exercise price | 2018-05-17 | |
| 2018-05-03 | 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 33,833 owned after | $11.12 exercise price | 2018-05-07 | |
| 2018-04-16 | 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 | −15,000 207,000 owned after | $13.05 exercise price | 2018-04-17 | |
| 2018-04-03 | 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 46,666 owned after | $11.12 exercise price | 2018-04-04 | |
| 2018-03-15 | 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 | −15,000 222,000 owned after | $13.05 exercise price | 2018-03-16 | |
| 2018-03-06 | 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 59,499 owned after | $11.12 exercise price | 2018-03-07 | |
| 2018-02-15 | 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 | −15,000 237,000 owned after | $13.05 exercise price | 2018-02-16 | |
| 2018-02-06 | 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 72,332 owned after | $11.12 exercise price | 2018-02-07 | |
| 2018-01-17 | Lucchese Cynthia L Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,797 2,797 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | Kline Teresa L. Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,797 2,797 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | MOLL FREDERIC H Director | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,797 2,797 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | 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) | +119,000 119,000 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | 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) | +49,000 49,000 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | 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) | +35,000 35,000 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | 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) | +28,000 28,000 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | 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) | +24,500 24,500 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-17 | Parker Drake R. Officer (Chief Business Officer) | 4 | Stock Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,000 14,000 owned after | $33.95 exercise price | 2018-01-19 | |
| 2018-01-12 | CARSCADDEN GWEN R. Officer (Chief People Officer) | 4 | Stock Options (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 40,000 owned after | $12.19 exercise price | 2018-01-16 | |
| 2018-01-11 | 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 85,165 owned after | $11.12 exercise price | 2018-01-12 |