SEC Form 4 · accession 0000897101-18-000655
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
Jul 18, 2018
Accepted (ET)
Jul 20, 2018 · 5:29 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 18, 2018 | M | 10,000 | $4.69 | A | 32,827 | D | |
| Common StockF1,F2 | Jul 18, 2018 | F | 988 | $47.50 | D | 31,839 | D | |
| Common StockF4 | Jul 18, 2018 | M | 8,000 | $7.58 | A | 39,839 | D | |
| Common StockF4 | Jul 18, 2018 | F | 1,277 | $47.50 | D | 38,562 | D | |
| Common StockF5 | Jul 18, 2018 | M | 4,000 | $6.90 | A | 42,562 | D | |
| Common StockF5 | Jul 18, 2018 | F | 582 | $47.50 | D | 41,980 | 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 | $4.69 | Jul 18, 2018 | M | 10,000 | D | — | Dec 9, 2018 | Common Stock | 10,000 | 0 | D |
| Option to Purchase - Common StockF3 | $7.58 | Jul 18, 2018 | M | 8,000 | D | — | Jan 14, 2026 | Common Stock | 8,000 | 0 | D |
| Option to Purchase - Common StockF3 | $6.90 | Jul 18, 2018 | M | 4,000 | D | — | Jan 2, 2027 | Common Stock | 4,000 | 8,000 | D |
Explanation of responses
- F1"Cashless Exercise" Resulting in Net Acquisition of 9,012 Share.
- F2Includes a total of 816 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 6,723 Shares
- F5"Cashless Exercise" Resulting in Net Acquisition of 3,418 Shares