SEC Form 4 · accession 0000897101-18-000800
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J McKenna
Director
Period of report
Aug 14, 2018
Accepted (ET)
Aug 16, 2018 · 3:13 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 | Aug 14, 2018 | M | 12,000 | $3.03 | A | 78,009 | D | |
| Common StockF1 | Aug 14, 2018 | F | 531 | $68.60 | D | 77,478 | D | |
| Common StockF3 | Aug 14, 2018 | M | 12,000 | $4.00 | A | 89,478 | D | |
| Common StockF3 | Aug 14, 2018 | F | 700 | $68.60 | D | 88,778 | D | |
| Common StockF4 | Aug 14, 2018 | M | 12,000 | $4.10 | A | 100,778 | D | |
| Common StockF4 | Aug 14, 2018 | F | 718 | $68.60 | D | 100,060 | D | |
| Common StockF5 | Aug 14, 2018 | M | 12,000 | $4.53 | A | 112,060 | D | |
| Common StockF5 | Aug 14, 2018 | F | 793 | $68.60 | D | 111,267 | D | |
| Common StockF6 | Aug 14, 2018 | M | 8,000 | $5.85 | A | 119,267 | D | |
| Common StockF6 | Aug 14, 2018 | F | 683 | $68.60 | D | 118,584 | D | |
| Common StockF7 | Aug 14, 2018 | M | 2,945 | $6.82 | A | 121,529 | D | |
| Common StockF7 | Aug 14, 2018 | F | 293 | $68.60 | D | 121,236 | 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 StockF2 | $3.03 | Aug 14, 2018 | M | 12,000 | D | — | Apr 15, 2019 | Common Stock | 12,000 | 0 | D |
| Option to Purchase - Common StockF2 | $4.00 | Aug 14, 2018 | M | 12,000 | D | — | Apr 21, 2020 | Common Stock | 12,000 | 0 | D |
| Option to Purchase - Common StockF2 | $4.10 | Aug 14, 2018 | M | 12,000 | D | — | Apr 24, 2023 | Common Stock | 12,000 | 0 | D |
| Option to Purchase - Common StockF2 | $4.53 | Aug 14, 2018 | M | 12,000 | D | — | Apr 27, 2021 | Common Stock | 12,000 | 0 | D |
| Option to Purchase - Common StockF2 | $5.85 | Aug 14, 2018 | M | 8,000 | D | — | Apr 28, 2026 | Common Stock | 8,000 | 4,000 | D |
| Option to Purchase - Common StockF2 | $6.82 | Aug 14, 2018 | M | 2,945 | D | — | Apr 23, 2024 | Common Stock | 2,945 | 9,055 | D |
Explanation of responses
- F1"Cashless Exercise" Resulting in Net Acquisition of 11,469 Shares.
- F2This option is Fully Vested and May BE Exercised Immediately.
- F3"Cashless Exercise" Resulting in Net Acquisition 11,300 Shares.
- F4"Cashless Exercise" Resulting in Net Acquisition of 11,282 Shares.
- F5"Cashless Exercise" Resulting in Net Acquisition of 11,207 Shares.
- F6"Cashless Exercise" Resulting in Net Acquisition of 7,317 Shares.
- F7"Cashless Exercise" Resulting in Net Acquisition of 2,652 Shares.