SEC Form 4 · accession 0000897101-18-000883
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Irving Smith
Director
Period of report
Aug 31, 2018
Accepted (ET)
Sep 5, 2018 · 3:01 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 Stock | Aug 31, 2018 | M | 6,667 | $5.85 | A | 6,667 | D | |
| Common Stock | Aug 31, 2018 | M | 3,333 | $8.80 | A | 10,000 | D | |
| Common StockF2 | Aug 31, 2018 | S | 2,102 | $73.48 | D | 7,898 | D | |
| Common StockF3 | Aug 31, 2018 | S | 5,958 | $74.17 | D | 1,940 | D | |
| Common StockF4 | Aug 31, 2018 | S | 1,940 | $74.96 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F5 | $5.85 | Aug 31, 2018 | M | 6,667 | D | — | Apr 27, 2026 | Common Stock | 6,667 | 3,333 | D |
| Employee Stock Option (Right to Buy)F6 | $8.80 | Aug 31, 2018 | M | 3,333 | D | — | Apr 26, 2027 | Common Stock | 3,333 | 6,667 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 17, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.70 to $73.675. The reporting person undertakes to provide to IntriCon Corporation any, security holder of IntriCon Corporation or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.70 to $74.50. The reporting person undertakes to provide to IntriCon Corporation, any security holder of IntriCon Corporation or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.70 to $75.45. The reporting person undertakes to provide to IntriCon Corporation, any security holder of IntriCon Corporation or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F5This option becomes exercisable in three equal annual installments beginning on April 28, 2017 or earlier upon the death, disability or retirement of the recipient or a change of control of the Company (as provided in the 2015 Equity Incentive Plan).
- F6This option becomes exercisable in three equal annual installments beginning on April 27, 2018 or earlier upon the death, disability or retirement of the recipient or a change of control of the Company (as provided in the 2015 Equity Incentive Plan).