Bauerlein Alison's Form 4/A amendment
AmendedInogen IncINGN · filed Dec 3, 2021
- Accession no.
- 0001209191-21-067949
- Filed
- Dec 3, 2021
- Trade date
- Dec 15, 2020
- Filing delay
- 353 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Dec 16, 2020
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $349.5K. It was filed 353 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Bauerlein AlisonCIK 0001596080 | Officer (EVP, Finance, & CFO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2020 | Common Stock | MOption exerciseAcquired | +8,702 | $16.62 | +$144,627.24 | 41,172 | Direct | |
| Dec 15, 2020 | Common Stock | SSaleDisposed | −4,449 | $39.44F3 | −$175,468.56 | 36,723 | Direct | |
| Dec 15, 2020 | Common Stock | SSaleDisposed | −1,904 | $40.42F5 | −$76,959.68 | 34,819 | Direct | |
| Dec 15, 2020 | Common Stock | SSaleDisposed | −2,349 | $41.33F7 | −$97,084.17 | 32,470 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2020 | Common Stock | MOption exerciseDisposed | −8,702 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Originally filed Form 4 reported 11,017.
- F2
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2020.
- F3
Represents the weighted average share price of an aggregate total of 4,449 shares sold in the price range of $39.01 to $39.92 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
Originally filed Form 4 reported 6,568.
- F5
Represents the weighted average share price of an aggregate total of 1,904 shares sold in the price range of $40.18 to $40.69 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F6
Originally filed Form 4 reported 4,664.
- F7
Represents the weighted average share price of an aggregate total of 2,349 shares sold in the price range of $41.00 to $41.50 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F8
Originally filed Form 4 reported 2,315.
- F9
Subject to the reporting person's continuing service, twenty-five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the vesting commencement date, and thereafter, one forty-eighth (1/48th) of the total shares subject to the option shall vest each month on the same day as the vesting commencement date. The vesting commencement date for this option is April 1, 2014. This option was fully vested as of April 1, 2018.