OPTINOSE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-11-23: Reporting owner MVM Partners, LLC; Form 5; Security Warrant (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-06-28: Reporting owner DOYLE WILLIAM F; Form 4; Security Warrant (Right to Buy); Transaction J Other acquisition or disposition (describe transaction).
- 2018-06-28: Reporting owner WFD Ventures LLC; Form 4; Security Warrant (Right to Buy); Transaction J Other acquisition or disposition (describe transaction).
- 2018-06-28: Reporting owner TKWD Ventures LLC; Form 4; Security Common Stock Warrants (right to buy); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-11-23 | MVM Partners, LLC 10% Owner | 5 | Warrant (right to buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,105,263 2,105,263 owned after | $0.01 | 2023-02-14 | |
| 2018-06-28 | DOYLE WILLIAM F Director | 4 | Warrant (Right to Buy) Derivative · Indirect · By: TKWD Ventures LLC | J Other acquisition or disposition (describe transaction) | +1,488,366 0 owned after | $8.16 exercise price | 2018-07-02 | |
| 2018-06-28 | WFD Ventures LLC 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · By: TKWD Ventures LLC | J Other acquisition or disposition (describe transaction) | −1,488,366 0 owned after | $8.16 exercise price | 2018-07-02 | |
| 2018-06-28 | TKWD Ventures LLC 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,488,366 0 owned after | $8.16 exercise price | 2018-07-02 | |
| 2017-10-18 holding as of filing | TKWD Ventures LLC | WFD Ventures LLC 10% Owner | 10% Owner | 3 | Warrant (Right to Buy) Derivative · Indirect · By: TKWD Ventures LLC | Holding | $8.16 exercise price | 2017-10-18 | ||
| 2017-10-12 holding as of filing | DOYLE WILLIAM F Director, 10% Owner | 3 | Warrant (Right to Buy) Derivative · Direct · (m) | Holding | $8.16 exercise price | 2017-10-12 | ||
| 2017-10-12 holding as of filing | DOYLE WILLIAM F Director, 10% Owner | 3 | Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | $8.16 exercise price | 2017-10-12 | ||
| 2017-10-12 holding as of filing | Bradshaw Paul | Entrepreneurs Fund LP | Entrepreneurs Fund General Partner Ltd 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $8.16 exercise price | 2017-10-12 |