SEC Form 4 · accession 0001209191-17-061429
Inogen Inc · INGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond Huggenberger
Director
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 4:00 pm EST
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 | Nov 15, 2017 | M | 1,000 | $8.37 | A | 7,808 | D | |
| Common Stock | Nov 15, 2017 | M | 3,400 | $16.62 | A | 11,208 | D | |
| Common Stock | Nov 15, 2017 | M | 6,200 | $38.54 | A | 17,408 | D | |
| Common Stock | Nov 15, 2017 | M | 3,400 | $44.19 | A | 20,808 | D | |
| Common StockF2 | Nov 15, 2017 | S | 12,800 | $118.2165 | D | 8,008 | D | |
| Common StockF3 | Nov 15, 2017 | S | 1,200 | $118.8217 | 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 | $8.37 | Nov 15, 2017 | M | 1,000 | D | — | Oct 9, 2023 | Common Stock | 1,000 | 6,037 | D |
| Stock Option (right to buy)F5 | $16.62 | Nov 15, 2017 | M | 3,400 | D | — | Mar 31, 2021 | Common Stock | 3,400 | 46,956 | D |
| Stock Option (right to buy)F6 | $38.54 | Nov 15, 2017 | M | 6,200 | D | — | May 15, 2022 | Common Stock | 6,200 | 62,800 | D |
| Stock Option (right to buy)F7 | $44.19 | Nov 15, 2017 | M | 3,400 | D | — | May 11, 2023 | Common Stock | 3,400 | 89,600 | 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 March 3, 2017.
- F2Represents the weighted average share price of an aggregate total of 12,800 shares sold in the price range of $117.66 to $118.53 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 1,200 shares sold in the price range of $118.72 to $119.29 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 October 1, 2013.
- F5Subject to the reporting person's continuing service, 1/48th of the total shares subject to the option shall vest every month after March 1, 2014.
- F6Subject to the reporting person's continuing service, twenty-five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the vesting commencement date, and thereafter, one forty-eighth (1/48th) of the total shares subject to the option shall vest each month on the same day as the vesting commencement date. The vesting commencement date for this option is May 1, 2015.
- F7Subject to the reporting person's continuing service, twenty-five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the vesting commencement date, and thereafter, 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 May 1, 2016.