0001494650-21-000111.txt : 20210917 0001494650-21-000111.hdr.sgml : 20210917 20210917135708 ACCESSION NUMBER: 0001494650-21-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210915 FILED AS OF DATE: 20210917 DATE AS OF CHANGE: 20210917 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: 211259911 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_163190141213807.xml FORM 4 X0306 4 2021-09-15 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 2021-09-15 4 M 0 39754 A 294264 D Common Stock 2021-09-16 4 S 0 11588 2.789 D 282676 D Common Stock 2021-09-16 4 S 0 911 2.789 D 281765 D Common Stock 35726 I By: The Ramy Mahmoud 2014 Trust for Cynthia Mahmoud Restricted Stock Units 2021-09-15 4 M 0 39754 0 D Common Stock 39754.0 39753 D Represents the vesting of a restricted stock units (RSUs) granted on September 15, 2020. 50% of the RSUs subject to this award shall vest on September 15, 2021 and the balance shall vest on September 15, 2022, subject to the reporting person's continuous service through such vesting date. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted share units granted on September 15, 2020. This sale is mandated by the issuer's award agreement under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted share units granted on March 6, 2020. This sale is mandated by the issuer's award agreement under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. RSUs convert into common stock on a one-for-one basis. /s/ Michele Janis, Attorney-in-Fact 2021-09-17