SEC Form 4 · accession 0000897101-16-003366
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Stephen Gorder
Officer — President and CEO · Director
Period of report
Dec 8, 2016
Accepted (ET)
Dec 12, 2016 · 4:00 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 | Dec 8, 2016 | M | 15,000 | $5.35 | A | 464,450 | D | |
| Common StockF1 | Dec 8, 2016 | F | 12,347 | $6.50 | D | 452,103 | D | |
| Common StockF3 | holding | — | — | — | 14,000 | I | Indirect by children | |
| Common StockF4 | holding | — | — | — | 5,000 | I | Indirect by spouse |
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 StockF2 | $5.35 | Dec 8, 2016 | M | 15,000 | D | — | Dec 11, 2016 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1"Cashless Exercise" Resulting In Net Acquisition of 2,653 Shares
- F2This Option is Fully Vested and May Be Exercised Immediately.
- F3Represents shares owned by the Reporting Person's children. The Reporting Person disclaims beneficial ownership of these shares.
- F4Represents shares owned by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership of these shares.
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.