0001494650-20-000099.txt : 20200812 0001494650-20-000099.hdr.sgml : 20200812 20200812192721 ACCESSION NUMBER: 0001494650-20-000099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200810 FILED AS OF DATE: 20200812 DATE AS OF CHANGE: 20200812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mahmoud Ramy A CENTRAL INDEX KEY: 0001718725 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38241 FILM NUMBER: 201096654 MAIL ADDRESS: STREET 1: 1020 STONY HILL ROAD, SUITE 300 CITY: YARDLEY STATE: PA ZIP: 19067 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OptiNose, Inc. CENTRAL INDEX KEY: 0001494650 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 421771610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1020 STONY HILL ROAD STREET 2: SUITE 300 CITY: YARDLEY STATE: PA ZIP: 19067 BUSINESS PHONE: 267-364-3500 MAIL ADDRESS: STREET 1: 1020 STONY HILL ROAD STREET 2: SUITE 300 CITY: YARDLEY STATE: PA ZIP: 19067 4 1 wf-form4_159727481806809.xml FORM 4 X0306 4 2020-08-10 0 0001494650 OptiNose, Inc. OPTN 0001718725 Mahmoud Ramy A C/O OPTINOSE, INC. 1020 STONY HILL ROAD, SUITE 300 YARDLEY PA 19067 0 1 0 0 President and COO Common Stock 2020-08-10 4 M 0 5022 1.63 A 60637 D Common Stock 2020-08-10 4 S 0 1733 7 D 58904 D Common Stock 2020-08-10 4 F 0 1185 7 D 57719 D Common Stock 2020-08-11 4 M 0 14549 1.63 A 72268 D Common Stock 2020-08-11 4 S 0 5022 7.004 D 67246 D Common Stock 2020-08-11 4 F 0 3427 7.004 D 63819 D Common Stock 2020-08-10 4 M 0 1682 1.63 A 1682 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Common Stock 2020-08-10 4 S 0 580 7 D 1102 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Common Stock 2020-08-10 4 F 0 396 7 D 706 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Common Stock 2020-08-11 4 M 0 4861 1.63 A 5567 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Common Stock 2020-08-11 4 S 0 1678 7.004 D 3889 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Common Stock 2020-08-11 4 F 0 1145 7.004 D 2744 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Stock Option (Right to Buy) 1.63 2020-08-10 4 M 0 5022 0 D 2021-02-11 Common Stock 5022.0 292524 D Stock Option (Right to Buy) 1.63 2020-08-11 4 M 0 14549 0 D 2021-02-11 Common Stock 14549.0 277975 D Stock Option (Right to Buy) 1.63 2020-08-10 4 M 0 1682 0 D 2021-02-11 Common Stock 1682.0 97500 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Stock Option (Right to Buy) 1.63 2020-08-11 4 M 0 4861 0 D 2021-02-11 Common Stock 4861.0 92639 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud The reporting person previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 11, 2020, 5,022 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 2,104 shares of common stock, the cancellation of 1,185 option shares in satisfaction of the exercise price for such options and the sale of 1,733 shares to cover estimated withholding taxes in connection with such exercise. The reporting person previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 11, 2020, 14,549 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the reporting person's receipt of 6,100 shares of common stock, the cancellation of 3,427 option shares in satisfaction of the exercise price for such options and the sale of 5,022 shares to cover estimated withholding taxes in connection with such exercise. The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud (the "Trust") previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 10, 2020, 1,682 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 706 shares of common stock, the cancellation of 396 option shares in satisfaction of the exercise price for such options and the sale of 580 shares to cover estimated withholding taxes in connection with such exercise. Shares held by The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud, the beneficiary of which is Dr. Mahmoud's spouse. The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud (the "Trust") previously entered into a 10b5-1 trading plan ("10b5-1 Plan") with respect to stock options granted on 2/11/11 and set to expire on 2/11/21. On August 10, 2020, 4,861 options were exercised pursuant to the terms of the 10b5-1 Plan resulting in the Trust's receipt of 2,038 shares of common stock, the cancellation of 1,145 option shares in satisfaction of the exercise price for such options and the sale of 1,678 shares to cover estimated withholding taxes in connection with such exercise. All option shares are exercisable. /s/ Leanne Kelly, Attorney-in-Fact 2020-08-12