SEC Form 4 · accession 0001209191-18-009717
Inogen Inc · INGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alison Bauerlein
Officer — EVP, Finance, & CFO
Period of report
Feb 9, 2018
Accepted (ET)
Feb 13, 2018 · 6:11 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 | Feb 9, 2018 | M | 11,718 | $44.19 | A | 11,718 | D | |
| Common StockF2 | Feb 9, 2018 | S | 8,213 | $115.6329 | D | 3,505 | D | |
| Common StockF3 | Feb 9, 2018 | S | 3,505 | $116.4218 | D | 0 | D | |
| Common Stock | Feb 12, 2018 | M | 15,912 | $2.40 | A | 15,912 | D | |
| Common StockF4 | Feb 12, 2018 | S | 3,197 | $115.2463 | D | 12,715 | D | |
| Common StockF5 | Feb 12, 2018 | S | 2,927 | $116.2601 | D | 9,788 | D | |
| Common StockF6 | Feb 12, 2018 | S | 7,120 | $117.4463 | D | 2,668 | D | |
| Common StockF7 | Feb 12, 2018 | S | 2,668 | $118.1268 | D | 0 | 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)F8 | $44.19 | Feb 9, 2018 | M | 11,718 | D | — | May 11, 2023 | Common Stock | 11,718 | 63,282 | D |
| Stock Option (right to buy)F9,F10 | $2.40 | Feb 12, 2018 | M | 15,912 | D | — | Mar 26, 2018 | Common Stock | 15,912 | 15,911 | 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 November 10, 2017.
- F10Previously filed forms 3 and 4 reported incorrect expiration date.
- F2Represents the weighted average share price of an aggregate total of 8,213 shares sold in the price range of $115.100 to $116.095 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 3,505 shares sold in the price range of $116.105 to $117.060 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.
- F4Represents the weighted average share price of an aggregate total of 3,197 shares sold in the price range of $114.66 to $115.61 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.
- F5Represents the weighted average share price of an aggregate total of 2,927 shares sold in the price range of $115.940 to $116.655 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.
- F6Represents the weighted average share price of an aggregate total of 7,120 shares sold in the price range of $116.94 to $117.93 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.
- F7Represents the weighted average share price of an aggregate total of 2,668 shares sold in the price range of $117.99 to $118.56 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.
- F8Subject 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.
- F9Subject 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 January 1, 2008.