SEC Form 4 · accession 0001235802-17-000013
ENTELLUS MEDICAL INC · ENTL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen E Peterson
Officer — VP, Regulatory and Quality
Period of report
Jan 9, 2017
Accepted (ET)
Jan 10, 2017 · 4:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001374128
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF2,F3 | Jan 9, 2017 | S | 5,000 | $19.1194 | D | 48,224 | D | |
| Common Stock, $0.001 par valueF4,F3 | Jan 10, 2017 | S | 4,840 | $19.1001 | D | 43,384 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold under a pre-arranged sales plan pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.10 to $19.12, inclusive. The Reporting Person undertakes to provide to Entellus Medical, Inc., any security holder of Entellus Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form.
- F3Includes 10,000 shares that will be issued over time upon vesting pursuant to a restricted stock unit granted under the Entellus Medical, Inc. 2015 Incentive Award Plan.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.10 to $19.11, inclusive. The Reporting Person undertakes to provide to Entellus Medical, Inc., any security holder of Entellus Medical, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form.