SEC Form 4 · accession 0000897101-18-000811
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas A Giordano
Director
Period of report
Aug 16, 2018
Accepted (ET)
Aug 20, 2018 · 12:04 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 16, 2018 | M | 10,000 | $6.96 | A | 83,336 | D | |
| Common StockF1 | Aug 16, 2018 | F | 1,189 | $58.55 | D | 82,147 | D | |
| Common StockF3 | Aug 16, 2018 | M | 10,000 | $6.82 | A | 92,147 | D | |
| Common StockF3 | Aug 16, 2018 | F | 1,165 | $58.55 | D | 90,982 | D | |
| Common StockF4 | Aug 16, 2018 | M | 10,000 | $7.96 | A | 100,982 | D | |
| Common StockF4 | Aug 16, 2018 | F | 1,360 | $58.55 | D | 99,622 | D | |
| Common StockF5 | Aug 16, 2018 | M | 6,667 | $5.85 | A | 106,289 | D | |
| Common StockF5 | Aug 16, 2018 | F | 667 | $58.55 | D | 105,622 | D | |
| Common StockF6 | Aug 16, 2018 | M | 3,333 | $8.80 | A | 108,955 | D | |
| Common StockF6 | Aug 16, 2018 | F | 501 | $58.55 | D | 108,454 | D | |
| Common StockF7 | Aug 16, 2018 | M | 9,058 | $4.53 | A | 117,512 | D | |
| Common StockF7 | Aug 16, 2018 | F | 701 | $58.55 | D | 116,811 | 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 | $6.96 | Aug 16, 2018 | M | 10,000 | D | — | May 1, 2022 | Common Stock | 10,000 | 0 | D |
| Option to Purchase - Common StockF2 | $6.82 | Aug 16, 2018 | M | 10,000 | D | — | Apr 23, 2024 | Common Stock | 10,000 | 0 | D |
| Option to Purchase - Common StockF2 | $7.96 | Aug 16, 2018 | M | 10,000 | D | — | Apr 24, 2025 | Common Stock | 10,000 | 0 | D |
| Option to Purchase - Common StockF2 | $5.85 | Aug 16, 2018 | M | 6,667 | D | — | Apr 28, 2026 | Common Stock | 6,667 | 3,333 | D |
| Option to Purchase - Common StockF2 | $8.80 | Aug 16, 2018 | M | 3,333 | D | — | Apr 27, 2027 | Common Stock | 3,333 | 6,667 | D |
| Option to Purchase - Common StockF2 | $4.53 | Aug 16, 2018 | M | 9,058 | D | — | Apr 27, 2021 | Common Stock | 9,058 | 942 | D |
Explanation of responses
- F1"Cashless Exercise" Resulting in Net Acquisition of 8,811 Shares
- F2This option is Fully Vested and May BE Exercised Immediately
- F3"Cashless Exercise" Resulting in Net Acquisition of 8,835 Shares
- F4"Cashless Exercise" Resulting in Net Acquisition of 8,640 Shares
- F5"Cashless Exercise" Resulting in Net Acquisition of 6,000 Shares
- F6"Cashless Exercise" Resulting in Net Acquisition of 2,832 Shares
- F7"Cashless Exercise" Resulting in Net Acquisition of 8,357 Shares