SEC Form 4 · accession 0000897101-17-001488
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Gonsior
Officer — Vice President, Operations
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 5:00 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 |
|---|---|---|---|---|---|---|---|---|
| Comm StockF2,F1 | Nov 13, 2017 | M | 20,000 | $14.70 | A | 65,568 | D | |
| Comm StockF2,F1 | Nov 13, 2017 | F | 18,786 | $15.65 | D | 46,782 | 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 | $14.70 | Nov 13, 2017 | M | 20,000 | D | — | Dec 10, 2017 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Includes a total of 868 shares acquired under the IntriCon Employee Stock Purchase Plan ("ESPP") and not previously disclosed.
- F2"Cashless Exercise" Resulting in Net Acquisition of 1,214 Shares.
- 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.