SEC Form 4 · accession 0000897101-18-000658
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis Gonsior
Officer — VP, Operations
Period of report
Jul 19, 2018
Accepted (ET)
Jul 23, 2018 · 1:30 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 19, 2018 | M | 10,000 | $4.69 | A | 57,022 | D | |
| Common StockF1,F2 | Jul 19, 2018 | F | 970 | $48.40 | D | 56,052 | D | |
| Common StockF4 | Jul 19, 2018 | M | 15,000 | $4.05 | A | 71,052 | D | |
| Common StockF4 | Jul 19, 2018 | F | 1,256 | $48.40 | D | 69,796 | D | |
| Common StockF5 | Jul 19, 2018 | M | 7,500 | $3.85 | A | 77,296 | D | |
| Common StockF5 | Jul 19, 2018 | F | 597 | $48.40 | D | 76,699 | 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 19, 2018 | M | 10,000 | D | — | Dec 9, 2018 | Common Stock | 10,000 | 0 | D |
| Option to Purchase - Common StockF3 | $4.05 | Jul 19, 2018 | M | 15,000 | D | — | Jan 5, 2023 | Common Stock | 15,000 | 0 | D |
| Option to Purchase - Common StockF3 | $3.85 | Jul 19, 2018 | M | 7,500 | D | — | Jan 2, 2024 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1"Cashless Exercise" Resulting in Net Acquisition of 9,033 Share.
- F2Includes a total of 240 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 13,744 Shares
- F5"Cashless Exercise" Resulting in Net Acquisition of 6,903 Shares