SEC Form 4 · accession 0001494650-18-000076
OptiNose, Inc. · OPTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
TKWD Ventures LLC
10% Owner
Period of report
Jun 28, 2018
Accepted (ET)
Jul 2, 2018 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001494650
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 28, 2018 | J | 2,195,914 | $0.00 | D | 817,225 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (right to buy)F3 | $8.16 | Jun 28, 2018 | J | 1,488,366 | D | — | Nov 1, 2020 | Common Stock | 1,488,366 | 0 | D |
Explanation of responses
- F1TKWD Ventures LLC distributed these shares to its members on a pro rata basis, for no consideration.
- F2TKWD Ventures LLC distributed these warrants to its members on a pro rata basis, for no consideration.
- F3All warrants are currently exercisable.