SEC Form 4 · accession 0001562180-18-005094
Intersect ENT, Inc. · XENT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa D Earnhardt
Officer — President and CEO · Director
Period of report
Dec 20, 2018
Accepted (ET)
Dec 26, 2018 · 12:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001271214
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 20, 2018 | M | 35,000 | $1.20 | A | 414,683 | D | |
| Common StockF2 | holding | — | — | — | 26,182 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $1.20 | Dec 20, 2018 | M | 35,000 | D | — | Apr 22, 2023 | Common Stock | 35,000 | 54,349 | D |
Explanation of responses
- F1Includes 61,500 Restricted Stock Units.
- F2Shares in the name of Lisa Damkroger Earnhardt C/F Jack L. Earnhardt UTMA/CA Until Age 25 for the benefit of Reporting Person's son. Reporting Person disclaims beneficial ownership of these shares.
- F3The vesting commencement date of the option is November 30, 2013. 1/48th of the shares subject to the option shall vest monthly thereafter over 48 months.