SEC Form 4 · accession 0001104659-17-062326
OptiNose, Inc. · OPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith A. Goldan
Officer — Chief Financial Officer
Period of report
Oct 12, 2017
Accepted (ET)
Oct 16, 2017 · 12:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001494650
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $16.00 | Oct 12, 2017 | A | 72,197 | A | — | Oct 11, 2027 | Common Stock | 72,197 | 72,197 | D |
Explanation of responses
- F1The option vests and becomes exercisable over a four-year period commencing on October 12, 2017. Twenty-five percent (25%) of the option vests and becomes exercisable on October 12, 2018, and the balance vests in equal monthly installments (rounded down to the nearest whole share) over the remaining three years of the four-year period, subject to continued service with the Issuer.