SEC Form 4 · accession 0001209191-19-016176
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
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 12:20 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 StockF1 | Mar 1, 2019 | A | 3,739 | $0.00 | A | 27,510 | D | |
| Common StockF2 | Mar 1, 2019 | A | 1,347 | $0.00 | A | 28,857 | D | |
| Common StockF3 | Mar 1, 2019 | F | 466 | $106.97 | D | 28,391 | D | |
| Common StockF4 | Mar 1, 2019 | A | 1,417 | $0.00 | A | 29,808 | D | |
| Common StockF3 | Mar 1, 2019 | F | 490 | $106.97 | D | 29,318 | D | |
| Common Stock | Mar 1, 2019 | A | 253 | $0.00 | A | 29,571 | D | |
| Common StockF5 | Mar 1, 2019 | F | 88 | $106.97 | D | 29,483 | D | |
| Common StockF5 | Mar 1, 2019 | F | 284 | $106.97 | D | 29,199 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnisF6,F7 | — | Mar 1, 2019 | M | 253 | A | — | — | Common Stock | 253 | 2,527 | D |
Explanation of responses
- F1The reported securities represent shares of restricted stock, 25% of which shall vest on March 1, 2020, and 1/16th of which shall vest every three months thereafter on the 1st day of the month, subject in each case to the reporting person remaining a service provider through each such applicable vesting date.
- F2The reported securities represent shares earned and vested on March 1, 2019 based on achievement of the financial performance conditions for the 2018 fiscal year that were approved as part of the 2017 performance-based restricted stock award granted on August 8, 2017.
- F3The reported shares were withheld in a net issuance to cover the Reporting Person's tax withholding liability in connection with a portion of a performance-based restricted stock award that was earned and vested on March 1, 2019.
- F4The reported securities represent shares earned and vested on March 1, 2019 based on achievement of the financial performance conditions for the 2018 fiscal year that were approved as part of the 2018 performance-based restricted stock award granted on March 2, 2018.
- F5The reported shares were withheld to cover the Reporting Person's tax withholding liability in connection with a portion of a time-based restricted stock award that vested on March 1, 2019.
- F6Each restricted stock unit represents a contingent right to receive one share of Inogen common stock.
- F725% of the restricted stock units shall vest on September 1, 2018, and 1/16th of the restricted stock units shall vest every three months thereafter on the 1st day of the month, subject to the reporting person continuing to be a service provider through each such vesting date.