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