0001494650-23-000030.txt : 20230320 0001494650-23-000030.hdr.sgml : 20230320 20230320160235 ACCESSION NUMBER: 0001494650-23-000030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230315 FILED AS OF DATE: 20230320 DATE AS OF CHANGE: 20230320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marino Michael F III CENTRAL INDEX KEY: 0001502700 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38241 FILM NUMBER: 23746393 MAIL ADDRESS: STREET 1: C/O NUPATHE, INC. STREET 2: 227 WASHINGTON STREET, SUITE 200 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 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_167934254337199.xml FORM 4 X0407 4 2023-03-15 0 0001494650 OptiNose, Inc. OPTN 0001502700 Marino Michael F III C/O OPTINOSE, INC. 1020 STONY HILL ROAD, SUITE 300 YARDLEY PA 19067 0 1 0 0 Chief Legal Officer & Corp Sec 0 Common Stock 2023-03-15 4 A 0 3817 0 A 338545 D Common Stock 2023-03-16 4 S 0 4972 1.79 D 333573 D Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on March 6, 2020. Fifty percent (50%) of the Performance RSUs vested on June 15, 2022, upon achievement of certain milestones in connection with the Company's development programs. The balance vests in eight equal quarterly installments, subject to continued service with the Issuer. Each Performance RSU represents the right to receive one share of common stock of OptiNose, Inc. 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 under multiple award agreements. This sale is mandated by the issuer's award agreement under its equity incentive plan 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. /s/ Anthony Krick, Attorney-in-Fact 2023-03-20