OPTINOSE, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-09-15: Reporting owner Miller Peter K; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-09-15: Reporting owner Mahmoud Ramy A; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-09-15: Reporting owner Miller Peter K; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-09-15: Reporting owner Mahmoud Ramy A; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-09-15 | Miller Peter K Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −79,508 79,507 owned after | $0.00 | 2021-09-17 | |
| 2021-09-15 | Mahmoud Ramy A Officer (President and COO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −39,754 39,753 owned after | $0.00 | 2021-09-17 | |
| 2020-09-15 | Miller Peter K Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +159,015 159,015 owned after | $0.00 | 2020-09-17 | |
| 2020-09-15 | Mahmoud Ramy A Officer (President and COO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +79,507 79,507 owned after | $0.00 | 2020-09-17 | |
| 2020-03-06 | Clavelli Victor M Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $5.41 exercise price | 2020-03-09 | |
| 2020-03-06 | Miller Peter K Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +133,333 133,333 owned after | $5.41 exercise price | 2020-03-09 | |
| 2020-03-06 | Goldan Keith A. Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,567 30,567 owned after | $5.41 exercise price | 2020-03-09 | |
| 2020-03-06 | Mahmoud Ramy A Officer (President and COO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $5.41 exercise price | 2020-03-09 | |
| 2020-03-06 | Marino Michael F III Officer (Chief Legal Officer & Corp Sec) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +0 30,567 owned after | $5.41 exercise price | 2020-03-09 | |
| 2019-04-17 | Gibbs Thomas Edward Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,600 20,600 owned after | $10.20 exercise price | 2019-04-19 |