SEC Form 4 · accession 0001209191-16-146366
Inogen Inc · INGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond Huggenberger
Officer — CEO · Director
Period of report
Oct 17, 2016
Accepted (ET)
Oct 19, 2016 · 4:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001294133
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 17, 2016 | M | 1,534 | $0.81 | A | 8,342 | D | |
| Common Stock | Oct 17, 2016 | M | 5,555 | $8.37 | A | 13,897 | D | |
| Common StockF2 | Oct 17, 2016 | S | 1,534 | $56.3243 | D | 12,363 | D | |
| Common StockF3 | Oct 17, 2016 | S | 5,555 | $56.2209 | D | 6,808 | D |
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)F4,F5 | $0.81 | Oct 17, 2016 | M | 1,534 | D | — | Mar 28, 2022 | Common Stock | 1,534 | 0 | D |
| Stock Option (right to buy)F6 | $8.37 | Oct 17, 2016 | M | 5,555 | D | — | Oct 10, 2023 | Common Stock | 5,555 | 12,037 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 25, 2016.
- F2Represents the weighted average share price of an aggregate total of 1,534 shares sold in the price range of $56.15 to $56.51 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3Represents the weighted average share price of an aggregate total of 5,555 shares sold in the price range of $55.770 to $56.525 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4Subject to the reporting person's continuing service, one forty-eighth (1/48th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is April 1, 2012.
- F5The Form 3 filed on February 12, 2014 mistakenly reported the expiration date as 03/28/2012.
- F6Subject to the reporting person's continuing service, one forty-eighth (1/48th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the fourth (4th) anniversary of the vesting commencement date. The vesting commencement date for this option is October 1, 2013.