Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Intersect ENT, Inc.XENT · Entity 127294 | EVP & General Counsel | February 03, 2020 | February 05, 2020 |
| Pulmonx CorpLUNG · Entity 2359 | General Counsel | September 01, 2026 | September 03, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Intersect ENT, Inc.
Report date February 03, 2020 · Filed February 05, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 68,465 |
Reported balance
After 2020-02-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-02-03 · Grant · Acquired 10,740 · Balance 68,465 F1: 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 shall vest on the third anniversary from the date of grant provided that certain 30-day trailing average stock price (the "Average Closing Price") targets are achieved at any time during the three year period following the date of grant. 33 1/3%, 66 2/3% or 100% of the shares will vest if the Average Closing Price equals or exceeds specific stock price targets. F2: Includes 51,034 restricted stock units, of which 42,534 are performance based. |
| Common StockSEC Table I · non-derivative | Direct | 79,205 |
Reported balance
After 2020-02-03 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2020-02-03 · Grant · Acquired 10,740 · Balance 79,205 F3: 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 in three equal annual installments commencing one year after the grant date. F4: Includes 61,774 restricted stock units, of which 42,534 are performance based. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.18 · Expires 2030-02-03 | Direct | 21,270 |
Reported balance
After 2020-02-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-02-03 · Grant · Acquired 21,270 · Balance 21,270 F5: The vesting commencement date of the option is February 3, 2020. 1/8th of the shares subject to the option shall vest on August 3, 2020 and 1/48th of the shares subject to the option shall vest monthly thereafter over 42 months. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 shall vest on the third anniversary from the date of grant provided that certain 30-day trailing average stock price (the "Average Closing Price") targets are achieved at any time during the three year period following the date of grant. 33 1/3%, 66 2/3% or 100% of the shares will vest if the Average Closing Price equals or exceeds specific stock price targets.
F2: Includes 51,034 restricted stock units, of which 42,534 are performance based.
F3: 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 in three equal annual installments commencing one year after the grant date.
F4: Includes 61,774 restricted stock units, of which 42,534 are performance based.
F5: The vesting commencement date of the option is February 3, 2020. 1/8th of the shares subject to the option shall vest on August 3, 2020 and 1/48th of the shares subject to the option shall vest monthly thereafter over 42 months.
Pulmonx Corp
Report date September 01, 2026 · Filed September 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 361,827 |
Ending reported balance
After 2026-09-01 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-09-01 · Sale · Disposed 3,807 · Balance 372,354 F1: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units (the "RSUs") granted on March 1, 2023. Row 2 · 2026-09-01 · Sale · Disposed 2,224 · Balance 370,130 F2: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2024. Row 3 · 2026-09-01 · Sale · Disposed 3,476 · Balance 366,654 F3: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 3, 2025. Row 4 · 2026-09-01 · Sale · Disposed 4,827 · Balance 361,827 F4: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 2, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units (the "RSUs") granted on March 1, 2023.
F2: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2024.
F3: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 3, 2025.
F4: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 2, 2026.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 01, 2024 Filed Mar 8, 2024 00:54 UTC Amendment | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 69,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-24-007230 · form4a-03082024_120320.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · GENERAL COUNSEL 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 214,588 F1 · shares: Represents grant of RSUs payable solely in common stock of the Issuer that vest over four years in equal quarterly installments beginning on March 1, 2024. Read SEC document |
| December 01, 2023 Filed Dec 5, 2023 22:42 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 2,700 | $10.34 | $27,918.00 |
DisclosureSEC source: 0001209191-23-057508 · doc4.xml · nonDerivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,839 F3 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2023. Read SEC document |
| December 01, 2023 Filed Dec 5, 2023 22:42 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 707 | $10.34 | $7,310.38 |
DisclosureSEC source: 0001209191-23-057508 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 152,539 F2 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2022. Read SEC document |
| December 01, 2023 Filed Dec 5, 2023 22:42 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 402 | $10.33 | $4,152.66 |
DisclosureSEC source: 0001209191-23-057508 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 153,246 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units (the "RSUs") granted on June 1, 2021. Read SEC document |
| September 01, 2023 Filed Sep 6, 2023 21:52 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 2,673 | $10.01 | $26,756.73 |
DisclosureSEC source: 0001209191-23-048493 · doc4.xml · nonDerivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 153,648 F3 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2023. Read SEC document |
| September 01, 2023 Filed Sep 6, 2023 21:52 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 701 | $10.01 | $7,017.01 |
DisclosureSEC source: 0001209191-23-048493 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 156,321 F2 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2022. Read SEC document |
| September 01, 2023 Filed Sep 6, 2023 21:52 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 398 | $10.01 | $3,983.98 |
DisclosureSEC source: 0001209191-23-048493 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 157,022 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units (the "RSUs") granted on June 1, 2021. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 22:40 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 2,676 | $11.48 | $30,720.48 |
DisclosureSEC source: 0001209191-23-034001 · doc4.xml · nonDerivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 157,420 F3 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2023. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 22:40 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 701 | $11.48 | $8,047.48 |
DisclosureSEC source: 0001209191-23-034001 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 160,096 F2 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs granted on March 1, 2022. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 22:40 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 399 | $11.48 | $4,580.52 |
DisclosureSEC source: 0001209191-23-034001 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 160,797 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units (the "RSUs") granted on June 1, 2021. Read SEC document |
| March 01, 2023 Filed Mar 4, 2023 00:00 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantEmployee Stock Option (right to buy) · Derivative | 81,000 | $0.00 Strike: $11.48 | $0.00 |
DisclosureSEC source: 0001209191-23-016003 · doc4.xml · derivative · entry 4 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,000 Underlying: Common Stock · 81,000 shares Expires 2033-02-28 F4 · derivative.exercise_date: The shares subject to the option vest in 48 equal monthly installments beginning on March 1, 2023. Read SEC document |
| March 01, 2023 Filed Mar 4, 2023 00:00 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 118,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-016003 · doc4.xml · nonDerivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,196 F3 · shares: Represents grant of Restricted Stock Units payable solely in common stock of the Issuer that vest over four years in equal quarterly installments beginning on March 1, 2023. Read SEC document |
| March 01, 2023 Filed Mar 4, 2023 00:00 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 806 | $11.03 | $8,890.18 |
DisclosureSEC source: 0001209191-23-016003 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,896 F2 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on March 1, 2022. Read SEC document |
| March 01, 2023 Filed Mar 4, 2023 00:00 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 458 | $11.03 | $5,051.74 |
DisclosureSEC source: 0001209191-23-016003 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,702 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021. Read SEC document |
| December 01, 2022 Filed Dec 6, 2022 00:00 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 682 | $5.93 | $4,044.26 |
DisclosureSEC source: 0001209191-22-059854 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,160 F2 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on March 1, 2022. Read SEC document |
| December 01, 2022 Filed Dec 6, 2022 00:00 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 387 | $5.93 | $2,294.91 |
DisclosureSEC source: 0001209191-22-059854 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,842 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021. Read SEC document |
| September 01, 2022 Filed Sep 6, 2022 20:51 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 690 | $17.88 | $12,337.20 |
DisclosureSEC source: 0001209191-22-048781 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,229 F2 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on March 1, 2022. Read SEC document |
| September 01, 2022 Filed Sep 6, 2022 20:51 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 392 | $17.89 | $7,012.88 |
DisclosureSEC source: 0001209191-22-048781 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,919 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 21:57 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 679 | $18.05 | $12,255.95 |
DisclosureSEC source: 0001209191-22-034288 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,311 F2 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on March 1, 2022. Read SEC document |
| June 01, 2022 Filed Jun 3, 2022 21:57 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 386 | $18.05 | $6,967.30 |
DisclosureSEC source: 0001209191-22-034288 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,990 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 23:11 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantEmployee Stock Option (right to buy) · Derivative | 68,700 | $0.00 Strike: $26.56 | $0.00 |
DisclosureSEC source: 0001209191-22-015828 · doc4.xml · derivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,700 Underlying: Common Stock · 68,700 shares Expires 2032-02-29 F3 · derivative.exercise_date: The shares subject to the option vest in 48 equal monthly installments beginning on March 1, 2022. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 23:11 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 31,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-015828 · doc4.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,376 F2 · shares: Represents grant of Restricted Stock Units payable solely in common stock of the Issuer that vest over four years in equal quarterly installments beginning on March 1, 2022. Read SEC document |
| March 01, 2022 Filed Mar 3, 2022 23:11 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 458 | $25.91 | $11,866.78 |
DisclosureSEC source: 0001209191-22-015828 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,376 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021. Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 23:41 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 383 | $32.73 | $12,535.59 |
DisclosureSEC source: 0001209191-21-067972 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,834 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021. Read SEC document |
| September 01, 2021 Filed Sep 3, 2021 21:53 UTC | Pulmonx Corp LUNG · Entity 2359 | SaleCommon Stock | 383 | $40.09 | $15,354.47 |
DisclosureSEC source: 0001209191-21-054858 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,217 F1 · kind: These shares were sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units granted on June 1, 2021. Read SEC document |
| June 01, 2021 Filed Jun 12, 2021 00:16 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantEmployee Stock Option (right to buy) · Derivative | 39,900 | $0.00 Strike: $43.40 | $0.00 |
DisclosureSEC source: 0001209191-21-040071 · doc4.xml · derivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,900 Underlying: Common Stock · 39,900 shares Expires 2031-05-31 F2 · derivative.exercise_date: The shares subject to the option vest in 48 equal monthly installments beginning on June 1, 2021. Read SEC document |
| June 01, 2021 Filed Jun 12, 2021 00:16 UTC | Pulmonx Corp LUNG · Entity 2359 | GrantCommon Stock | 17,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-040071 · doc4.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,600 F1 · shares: Represents grant of Restricted Stock Units payable solely in common stock of the Issuer that vest over four years in equal quarterly installments beginning on June 1, 2021. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 17:28 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantStock Options (Right to buy) · Derivative | 21,270 | $0.00 Strike: $26.18 | $0.00 |
DisclosureSEC source: 0001562180-20-000897 · primarydocument.xml · derivative · entry 3 Lehman David Aaron · CIK 0001354228 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,270 Underlying: Common Stock · 21,270 shares Expires 2030-02-03 F5 · derivative.exercise_date: The vesting commencement date of the option is February 3, 2020. 1/8th of the shares subject to the option shall vest on August 3, 2020 and 1/48th of the shares subject to the option shall vest monthly thereafter over 42 months. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 17:28 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantCommon Stock | 10,740 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-000897 · primarydocument.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,205 F3 · 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 in three equal annual installments commencing one year after the grant date. F4 · balance_after: Includes 61,774 restricted stock units, of which 42,534 are performance based. Read SEC document |
| February 03, 2020 Filed Feb 5, 2020 17:28 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantCommon Stock | 10,740 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-000897 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,465 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 shall vest on the third anniversary from the date of grant provided that certain 30-day trailing average stock price (the "Average Closing Price") targets are achieved at any time during the three year period following the date of grant. 33 1/3%, 66 2/3% or 100% of the shares will vest if the Average Closing Price equals or exceeds specific stock price targets. F2 · balance_after: Includes 51,034 restricted stock units, of which 42,534 are performance based. Read SEC document |
| January 06, 2020 Filed Jan 6, 2020 19:27 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Tax withholdingCommon Stock | 3,459 | $24.27 | $83,945.09 |
DisclosureSEC source: 0001562180-20-000240 · primarydocument.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,725 F1 · shares: Shares tendered in payment of the tax withholding obligation. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.10 to $24.60, 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 to this Form 4. F3 · balance_after: Includes 40,294 restricted stock units, of which 31,794 are performance based. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 19:27 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Tax withholdingCommon Stock | 4,357 | $24.23 | $105,567.50 |
DisclosureSEC source: 0001562180-20-000240 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,184 F1 · shares: Shares tendered in payment of the tax withholding obligation. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.94 to $25.2425, 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 to this Form 4. F3 · balance_after: Includes 40,294 restricted stock units, of which 31,794 are performance based. Read SEC document |
| November 26, 2019 Filed Nov 29, 2019 13:46 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantCommon Stock | 31,794 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-005774 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,541 F1 · security: Represents restricted stock units granted as a promotion award, 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 shall vest on the third anniversary from the date of grant provided that certain 30-day trailing average stock price (the "Average Closing Price") targets are achieved at any time during the three year period following the date of grant. 33 1/3%, 66 2/3% or 100% of the shares will vest if the Average Closing Price equals or exceeds specific stock price targets. F2 · balance_after: Includes 60,746 restricted stock units, of which 31,794 are performance based. Read SEC document |
| May 07, 2019 Filed May 8, 2019 18:40 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantCommon Stock | 11,952 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-002723 · primarydocument.xml · nonDerivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,747 F4 · 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 on December 31, 2019. F5 · balance_after: Includes 28,952 Restricted Stock Units. Read SEC document |
| May 06, 2019 Filed May 8, 2019 18:40 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Exercise / conversionStock Option (right to buy) · Derivative | 9,000 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001562180-19-002723 · primarydocument.xml · derivative · entry 4 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,000 Underlying: Common Stock · 9,000 shares Expires 2026-02-21 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. F6 · derivative.exercise_date: The vesting commencement date of the option was February 22, 2016. 25% of the shares subject to the option vested on February 22, 2017 and 1/48th of the remaining shares subject to the option will vest monthly thereafter over three (3) years. Read SEC document |
| May 06, 2019 Filed May 8, 2019 18:40 UTC | Intersect ENT, Inc. XENT · Entity 127294 | SaleCommon Stock | 9,000 | $33.02 | $297,201.60 |
DisclosureSEC source: 0001562180-19-002723 · primarydocument.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,795 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 28, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.15, 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 to this Form 4. F1 · balance_after: Includes 17,000 Restricted Stock Units. Read SEC document |
| May 06, 2019 Filed May 8, 2019 18:40 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Exercise / conversionCommon Stock | 9,000 | $18.00 | $162,000.00 |
DisclosureSEC source: 0001562180-19-002723 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,795 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 17,000 Restricted Stock Units. Read SEC document |
| April 29, 2019 Filed May 1, 2019 16:06 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Exercise / conversionStock Option (right to buy) · Derivative | 9,000 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001562180-19-002467 · primarydocument.xml · derivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 9,000 shares Expires 2026-02-21 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_date: The vesting commencement date of the option is February 22, 2016. 25% of the shares subject to the option vested on February 22, 2017 and 1/48th of the remaining shares subject to the option will vest monthly thereafter over three (3) years. Read SEC document |
| April 29, 2019 Filed May 1, 2019 16:06 UTC | Intersect ENT, Inc. XENT · Entity 127294 | SaleCommon Stock | 9,000 | $33.04 | $297,342.90 |
DisclosureSEC source: 0001562180-19-002467 · primarydocument.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,795 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 28, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.27, 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 to this Form 4. F1 · balance_after: Includes 17,000 Restricted Stock Units. Read SEC document |
| April 29, 2019 Filed May 1, 2019 16:06 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Exercise / conversionCommon Stock | 9,000 | $18.00 | $162,000.00 |
DisclosureSEC source: 0001562180-19-002467 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,795 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 17,000 Restricted Stock Units. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 17:39 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantStock Option (right to buy) · Derivative | 42,000 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001562180-19-000375 · primarydocument.xml · derivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 42,000 shares Expires 2029-01-15 F3 · derivative.exercise_date: The vesting commencement date of the option is January 1, 2019. 1/8th of the shares subject to the option shall vest on July 1, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter over 42 months. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 17:39 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantCommon Stock | 9,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-000375 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,795 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 in three equal annual installments commencing on January 1, 2019. F2 · balance_after: Includes 17,000 Restricted Stock Units. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 20:10 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Tax withholdingCommon Stock | 2,418 | $26.57 | $64,240.22 |
DisclosureSEC source: 0001562180-19-000162 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,795 F1 · shares: Shares tendered in payment of the tax withholding obligation. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.43 to $26.86, 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 to this Form 4. F3 · balance_after: Includes 8,000 Restricted Stock Units. Read SEC document |
| January 17, 2018 Filed Jan 19, 2018 17:16 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantStock Options (Right to buy) · Derivative | 35,000 | $0.00 Strike: $33.95 | $0.00 |
DisclosureSEC source: 0001562180-18-000366 · primarydocument.xml · derivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-01-16 F2 · derivative.exercise_date: 1/8th of the shares subject to the option vest on July 1, 2018 and 1/48th of the total shares subject to the option vest monthly thereafter over 42 months. Read SEC document |
| January 17, 2018 Filed Jan 19, 2018 17:16 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-000366 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,213 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 in equal annual installments over three years commencing on January 1, 2018. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 20:09 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Tax withholdingCommon Stock | 1,287 | $33.93 | $43,671.51 |
DisclosureSEC source: 0001562180-18-000164 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,713 F1 · shares: Shares tendered in payment of the tax withholding obligation. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.75 to $34.25, 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. Read SEC document |
| December 11, 2017 Filed Dec 13, 2017 19:53 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Exercise / conversionStock Option (right to buy) · Derivative | 36,000 | $0.00 Strike: $18.00 | $0.00 |
DisclosureSEC source: 0001562180-17-003867 · primarydocument.xml · derivative · entry 3 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,000 Underlying: Common Stock · 36,000 shares Expires 2026-02-21 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 · derivative.exercise_date: The vesting commencement date of the option is February 22, 2016. 25% of the shares subject to the option shall vest on February 22, 2017 and 1/48th of the shares subject to the option shall vest monthly thereafter over three (3) years. Read SEC document |
| December 11, 2017 Filed Dec 13, 2017 19:53 UTC | Intersect ENT, Inc. XENT · Entity 127294 | SaleCommon Stock | 36,000 | $32.75 | $1,179,000.00 |
DisclosureSEC source: 0001562180-17-003867 · primarydocument.xml · nonDerivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 7, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $33.00, 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. Read SEC document |
| December 11, 2017 Filed Dec 13, 2017 19:53 UTC | Intersect ENT, Inc. XENT · Entity 127294 | Exercise / conversionCommon Stock | 36,000 | $18.00 | $648,000.00 |
DisclosureSEC source: 0001562180-17-003867 · primarydocument.xml · nonDerivative · entry 1 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 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. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 19:43 UTC | Intersect ENT, Inc. XENT · Entity 127294 | GrantStock Options (Right to buy) · Derivative | 42,000 | $0.00 Strike: $13.05 | $0.00 |
DisclosureSEC source: 0001562180-17-000302 · primarydocument.xml · derivative · entry 2 Lehman David Aaron · CIK 0001354228 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 42,000 shares Expires 2027-01-17 F2 · derivative.exercise_date: 1/8th of the shares subject to the option vest on July 1, 2017 and 1/48th of the total shares subject to the option vest monthly thereafter over 42 months. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.