MOLL FREDERIC H

SEC source: 0001628280-21-018954 · wf-form4_163226367108643.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 482,521

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock and Series G Preferred Stock converted automatically into one share of Common Stock upon the closing of the Issuer's initial public offering. These shares have no expiration date.

SEC source: 0000950103-21-010361 · dp154197_4-moll.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,429

F1 · shares: Reflects shares issuable on settlement of restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The shares subject to the restricted stock units vest on 6/25/2022, subject to the Reporting Person's continued service through such date.

SEC source: 0001562180-21-000955 · primarydocument.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2021-01-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The vesting commencement date of the option is February 1, 2011. 7500 shares subject to the option vested on February 2, 2011 and 1/60th of the shares subject to the option vested monthly thereafter over 24 months.

SEC source: 0001562180-21-000955 · primarydocument.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,961

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes 5,011 restricted stock units.

SEC source: 0000950103-20-014014 · dp132624_4-moll.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,579

SEC source: 0001562180-20-004319 · primarydocument.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,666

Underlying: Common Stock · 9,666 shares

Expires 2030-06-03

F3 · derivative.exercise_date: The shares subject to the option vest in 12 equal monthly installments commencing on June 4, 2020.

SEC source: 0001562180-20-004319 · primarydocument.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,461

F1 · shares: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest one year from grant date on June 4, 2021.

F2 · balance_after: Includes 5,011 restricted stock units.

SEC source: 0001562180-20-000477 · primarydocument.xml · derivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,355

Underlying: Common Stock · 3,355 shares

Expires 2030-01-16

F1 · derivative.exercise_date: The shares subject to the option vest in 12 equal monthly installments commencing on January 1, 2020.

SEC source: 0001382963-19-000115 · edgar.xml · derivative · entry 5

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 290,765 shares

Expires 2020-08-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: This Unsecured Subordinated Convertible Promissory Note was converted with a conversion price of $0.4664, which conversion occurred prior to the 1-for 15 reverse stock split that occurred on November 7, 2019.

F8 · reported_value: Through the date of conversion, the principal and interest under this Unsecured Subordinated Convertible Promissory Note, totaled $2,034,191.85 which total was converted into shares of common stock of the Issuer.

F7 · derivative.exercise_date: This Unsecured Subordinated Convertible Promissory Note converted upon the consumation of the Merger, pursuant to its terms.

F5 · derivative.underlying_shares: This Unsecured Subordinated Convertible Promissory Note was previously reported as covering 4,288,164 shares which conversion shares were adjusted to account for interest due thereon and reflect the 1-for-15 reverse stock split that occurred after the conversion on November 7, 2019.

SEC source: 0001382963-19-000115 · edgar.xml · derivative · entry 4

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 452,407 shares

Expires 2020-08-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: This Unsecured Subordinated Convertible Promissory Note was converted with a conversion price of $0.4664, which conversion occurred prior to the 1-for 15 reverse stock split that occurred on November 7, 2019.

F6 · reported_value: Through the date of conversion, the principal and interest under this Unsecured Subordinated Convertible Promissory Note, totaled $3,165,041.10 which total was converted into shares of common stock of the Issuer.

F7 · derivative.exercise_date: This Unsecured Subordinated Convertible Promissory Note converted upon the consumation of the Merger, pursuant to its terms.

F3 · derivative.underlying_shares: This Unsecured Subordinated Convertible Promissory Note was previously reported as covering 6,432,246 shares which conversion shares were adjusted to account for interest due thereon and reflect the 1-for-15 reverse stock split that occurred after the conversion on November 7, 2019.

SEC source: 0001382963-19-000115 · edgar.xml · nonDerivative · entry 3

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950,553

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: This Unsecured Subordinated Convertible Promissory Note was previously reported as covering 4,288,164 shares which conversion shares were adjusted to account for interest due thereon and reflect the 1-for-15 reverse stock split that occurred after the conversion on November 7, 2019.

F4 · price: This Unsecured Subordinated Convertible Promissory Note was converted with a conversion price of $0.4664, which conversion occurred prior to the 1-for 15 reverse stock split that occurred on November 7, 2019.

SEC source: 0001382963-19-000115 · edgar.xml · nonDerivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 659,788

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · shares: This Unsecured Subordinated Convertible Promissory Note was previously reported as covering 6,432,246 shares which conversion shares were adjusted to account for interest due thereon and reflect the 1-for-15 reverse stock split that occurred after the conversion on November 7, 2019.

F4 · price: This Unsecured Subordinated Convertible Promissory Note was converted with a conversion price of $0.4664, which conversion occurred prior to the 1-for 15 reverse stock split that occurred on November 7, 2019.

SEC source: 0001382963-19-000115 · edgar.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,381

F1 · price: Received in connection with the Merger, upon the conversion of the outstanidng principal and any accrued and unpaid interest of two 8% Convertible Promissory Notes issued by Venus Concept Ltd., dated as of August 14, 2019 and August 21, 2019, in the original principal amounts of $197,142.85 and $802,857.15, respectively.

F2 · balance_after: Dr. Moll's previously reported holdings of common stock of the Issuer of 929,809 shares was adjusted to reflect the Issuer's 1-for-15 reverse stock split that occurred on November 7, 2019, which resulted in Dr. Moll's ownership of 867,822 less shares of common stock.

SEC source: 0000950103-19-013788 · dp114194_4-moll.xml · nonDerivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,878

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.82 to $32.21. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-013788 · dp114194_4-moll.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,407

F1 · kind: All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/6/2019.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.82 to $31.81. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0001567619-19-017499 · doc1.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 4,288,164 shares

Expires 2020-08-28

F1 · derivative.exercise_date: The promissory note will convert upon the consummation of the transactions contemplated in that certain Agreement and Plan of Merger and Reorganization dated March 15, 2019, among the Issuer, Radiant Merger Sub Ltd., an entity organized under the laws of Israel and Venus Concept Ltd., an entity organized under the laws of Israel.

SEC source: 0001567619-19-017499 · doc1.xml · derivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,432,246 shares

Expires 2020-08-28

F1 · derivative.exercise_date: The promissory note will convert upon the consummation of the transactions contemplated in that certain Agreement and Plan of Merger and Reorganization dated March 15, 2019, among the Issuer, Radiant Merger Sub Ltd., an entity organized under the laws of Israel and Venus Concept Ltd., an entity organized under the laws of Israel.

SEC source: 0001562180-19-003399 · primarydocument.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,172

Underlying: Common Stock · 5,172 shares

Expires 2029-06-03

F3 · derivative.exercise_date: The shares subject to the option vest in 12 equal monthly installments commencing on June 4, 2019.

SEC source: 0001562180-19-003399 · primarydocument.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,450

F1 · shares: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest one year from grant date on June 4, 2020.

F2 · balance_after: Includes 2,312 restricted stock units.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · derivative · entry 8

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,347 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · derivative · entry 7

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,767 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · derivative · entry 6

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 114,107 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · derivative · entry 5

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 123,657 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.exercise_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

F1 · derivative.expiration_date: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · nonDerivative · entry 4

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,878

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · nonDerivative · entry 3

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,531

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · nonDerivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,764

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003372 · dp103686_4-moll.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,657

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share the convertible preferred stock automatically converted into shares of Common Stock on a one-for-one basis immediately upon the closing of the Issuer's initial public offering without payment or consideration. The shares of the convertible preferred stock had no expiration date.

SEC source: 0000950103-19-003227 · dp103551_4-moll.xml · derivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,381

Underlying: Common Stock · 17,381 shares

Expires 2029-03-06

F1 · derivative.exercise_date: 1/3rd of the options shall vest each year beginning on March 11, 2020 until 100% of the options have vested.

SEC source: 0001562180-19-000369 · primarydocument.xml · derivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,220

Underlying: Common Stock · 3,220 shares

Expires 2029-01-15

F1 · derivative.exercise_date: The shares subject to the option vest in 12 equal monthly installments commencing on January 1, 2019.

SEC source: 0001567619-18-000663 · doc1.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 929,809

F1 · kind: The shares were acquired in connection with an underwritten public offering of common stock which closed on August 14, 2018.

SEC source: 0000899243-18-016757 · doc4.xml · derivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,708

Underlying: Common Stock · 13,708 shares

Expires 2028-06-13

F1 · derivative.exercise_date: The option will vest in full on the earlier of (A) June 13, 2019 or (B) immediately prior to the next annual meeting of the Company's stockholders, subject to continued service on the board of directors through each applicable vesting date.

SEC source: 0001562180-18-002918 · primarydocument.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,473

Underlying: Common Stock · 3,473 shares

Expires 2028-06-04

F3 · derivative.exercise_date: The shares subject to the option vest in 12 equal monthly installments commencing on June 5, 2018.

SEC source: 0001562180-18-002918 · primarydocument.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,138

F1 · shares: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest one year from grant date on June 5, 2019.

F2 · balance_after: Includes 1,514 RSUs.

SEC source: 0001562180-18-000369 · primarydocument.xml · derivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,797

Underlying: Common Stock · 2,797 shares

Expires 2028-01-16

F1 · derivative.exercise_date: The shares subject to the option vest in 12 equal monthly installments commencing on January 1, 2018.

SEC source: 0001562180-17-003642 · primarydocument.xml · nonDerivative · entry 3

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,624

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.75 to $28.80, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote on this Form 4.

SEC source: 0001562180-17-003642 · primarydocument.xml · nonDerivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,124

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.60 to $28.90, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote on this Form 4.

SEC source: 0001562180-17-003642 · primarydocument.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,124

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.50 to $29.05, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote on this Form 4.

SEC source: 0001562180-17-003559 · primarydocument.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,824

SEC source: 0001140361-17-038915 · doc1.xml · derivative · entry 6

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,620 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F2 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

SEC source: 0001140361-17-038915 · doc1.xml · derivative · entry 5

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 153,846 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F2 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

SEC source: 0001140361-17-038915 · doc1.xml · derivative · entry 4

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 316,725 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F1 · derivative.exercise_date: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

F2 · derivative.expiration_date: The expiration date is not relevant to the conversion of these securities.

SEC source: 0001140361-17-038915 · doc1.xml · nonDerivative · entry 3

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 596,476

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

SEC source: 0001140361-17-038915 · doc1.xml · nonDerivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,856

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

SEC source: 0001140361-17-038915 · doc1.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,010

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's Initial Public Offering.

SEC source: 0001209191-17-042884 · doc4.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 192,100 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: These shares of Series D Participating Convertible Preferred Stock ("Preferred Stock") were acquired by Frederic H. Moll in a private placement with the Issuer, which closed on April 18, 2017.

F3 · derivative.expiration_date: The Preferred Stock had no expiration date.

SEC source: 0001209191-17-042884 · doc4.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,317

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On June 30, 2017, as a result of receipt of the Requisite Stockholder Approval (defined and described further in the Securities Purchase Agreement dated April 11, 2017 and filed as Exhibit 99.1 to the Current Report on Form 8-K filed by the Issuer on April 14, 2017), each share of Preferred Stock (as defined below) automatically converted into 100 shares of Common Stock, reflecting a conversion price equal to $1.24 per share.

SEC source: 0001562180-17-002199 · primarydocument.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,035

Underlying: Common Stock · 6,035 shares

Expires 2027-05-31

F2 · derivative.exercise_date: The shares subject to the option vest in 12 equal monthly installments commencing on June 1, 2017.

SEC source: 0001562180-17-002199 · primarydocument.xml · nonDerivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,624

F1 · security: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest one year from grant date on June 1, 2018.

SEC source: 0001209191-17-031900 · doc4.xml · derivative · entry 2

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,211

Underlying: Common Stock · 35,211 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award.

F3 · derivative.expiration_date: The restricted stock unit award fully vests and is immediately exercisable on the first anniversary of the date of the award.

SEC source: 0001209191-17-031900 · doc4.xml · derivative · entry 1

MOLL FREDERIC H · CIK 0001260157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,623

Underlying: Common Stock · 105,634 shares

Expires 2027-05-10

F1 · derivative.exercise_date: The stock option vests and is exercisable in equal monthly installments over a consecutive 12-month period, commencing one month from the date of grant.