SEC Form 4 · accession 0000897101-18-000618
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Longval
Officer — Chief Financial Officer
Period of report
Jul 1, 2018
Accepted (ET)
Jul 3, 2018 · 2:00 pm EDT
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 | Jul 1, 2018 | M | 15,000 | $4.53 | A | 38,989 | D | |
| Common StockF1,F2 | Jul 1, 2018 | F | 1,687 | $40.30 | D | 37,302 | D | |
| Common StockF4 | Jul 1, 2018 | M | 7,500 | $3.85 | A | 44,802 | D | |
| Common StockF4 | Jul 1, 2018 | F | 717 | $40.30 | D | 44,085 | 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 | $4.53 | Jul 1, 2018 | M | 15,000 | D | — | Apr 27, 2011 | Common Stock | 15,000 | 0 | D |
| Option to Purchase - Common StockF3 | $3.85 | Jul 1, 2018 | M | 7,500 | D | — | Jan 2, 2014 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1"Cashless Exercise" Resulting In Net Acquisition of 13,313 Shares.
- F2Includes a total of 221 shares acquired under the IntriCon Employee Stock Purchase Plan ("ESPP") and not previously disclosed.
- F3This Option is Fully Vested and May BE Exercised Immediately.
- F4"Cashless Exercise" Resulting In Net Acquisition of 6,783 Shares.