SEC Form 4 · accession 0001209191-18-051296
Inogen Inc · INGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond Huggenberger
Director
Period of report
Sep 14, 2018
Accepted (ET)
Sep 17, 2018 · 8:00 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 | Sep 14, 2018 | M | 1,000 | $8.37 | A | 8,797 | D | |
| Common Stock | Sep 14, 2018 | M | 4,500 | $16.62 | A | 13,297 | D | |
| Common Stock | Sep 14, 2018 | M | 2,500 | $38.54 | A | 15,797 | D | |
| Common Stock | Sep 14, 2018 | M | 2,500 | $44.19 | A | 18,297 | D | |
| Common StockF2 | Sep 14, 2018 | S | 904 | $279.4678 | D | 17,393 | D | |
| Common StockF3 | Sep 14, 2018 | S | 596 | $280.5313 | D | 16,797 | D | |
| Common StockF4 | Sep 14, 2018 | S | 2,374 | $281.5006 | D | 14,423 | D | |
| Common StockF5 | Sep 14, 2018 | S | 3,140 | $282.5981 | D | 11,283 | D | |
| Common StockF6 | Sep 14, 2018 | S | 1,095 | $283.6311 | D | 10,188 | D | |
| Common StockF7 | Sep 14, 2018 | S | 1,751 | $284.6266 | D | 8,437 | D | |
| Common StockF8 | Sep 14, 2018 | S | 640 | $285.2772 | D | 7,797 | 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)F9 | $8.37 | Sep 14, 2018 | M | 1,000 | D | — | Oct 9, 2023 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (right to buy)F10 | $16.62 | Sep 14, 2018 | M | 4,500 | D | — | Mar 31, 2021 | Common Stock | 4,500 | 22,156 | D |
| Stock Option (right to buy)F11 | $38.54 | Sep 14, 2018 | M | 2,500 | D | — | May 15, 2022 | Common Stock | 2,500 | 40,400 | D |
| Stock Option (right to buy)F12 | $44.19 | Sep 14, 2018 | M | 2,500 | D | — | May 11, 2023 | Common Stock | 2,500 | 72,800 | 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 2, 2018.
- F10Subject 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.
- F11Subject 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.
- F12Subject 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.
- F2Represents the weighted average share price of an aggregate total of 904 shares sold in the price range of $279.00 to $279.96 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 596 shares sold in the price range of $280.025 to $281.010 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 2,374 shares sold in the price range of $281.04 to $282.02 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 3,140 shares sold in the price range of $282.05 to $283.04 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 1,095 shares sold in the price range of $283.06 to $284.02 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 1,751 shares sold in the price range of $284.11 to $285.10 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.
- F8Represents the weighted average share price of an aggregate total of 640 shares sold in the price range of $285.14 to $285.39 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.
- 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 October 1, 2013.