SEC Form 4 · accession 0000897101-19-000159
INTRICON CORP · IIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg Gruenhagen
Officer — VP, Corp. Qlty. & Reg. Affairs
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 9:40 am EST
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 | Mar 1, 2019 | M | 1,810 | $4.53 | A | 4,047 | D | |
| Common StockF1,F2 | Mar 1, 2019 | F | 310 | $26.48 | D | 3,737 | D | |
| Common StockF2,F3 | Mar 4, 2019 | S | 1,500 | $25.334 | D | 2,237 | 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,F4 | $4.53 | Mar 1, 2019 | M | 1,810 | D | — | Apr 26, 2021 | Common Stock | 1,810 | 9,558 | D |
Explanation of responses
- F1"Net exercise" resulting in net acquisition of 1,500 shares.
- F2These transactions were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on 11/30/2018.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.98, inclusive. The reporting person undertakes to provide to IntriCon Corporation, any security holder of IntriCon Corporation and 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.
- F4This option is fully vested and may be exercised immediately.