SEC Form 4 · accession 0000897101-16-003354
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Geraci
Officer — VP Sales and Marketing
Period of report
Dec 5, 2016
Accepted (ET)
Dec 7, 2016 · 4:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000088790
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 5, 2016 | M | 10,000 | $5.35 | A | 33,545 | D | |
| Common StockF1 | Dec 5, 2016 | F | 8,360 | $6.40 | D | 25,185 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase - Common StockF3 | $5.35 | Dec 5, 2016 | M | 10,000 | D | — | Dec 11, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1"Cashless Exercise" Resulting In Net Acquisition of 1,640 Shares
- F2Includes a total of 2,128 shares acquired under the IntriCon Employee Stock Purchase Plan ("ESPP") since July 27, 2015, the date of the last report in which ESPP acquisitions were included.
- F3This Option is Fully Vested and May Be Exercised Immediately.
Remarks
The filing of this Statement shall not be construed as an admission (a) that the person filing this Statement is, for the purposes of Section 16 of the Securities Exchange Act of 1934 (as amended), the beneficial owner of any equity securities covered by this Statement, or (b) that this Statement is legally required to filed by such person.