0001562180-20-000897.txt : 20200205 0001562180-20-000897.hdr.sgml : 20200205 20200205172821 ACCESSION NUMBER: 0001562180-20-000897 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200203 FILED AS OF DATE: 20200205 DATE AS OF CHANGE: 20200205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lehman David Aaron CENTRAL INDEX KEY: 0001354228 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36545 FILM NUMBER: 20579872 MAIL ADDRESS: STREET 1: 6035 STONERIDGE DRIVE CITY: PLEASANTON STATE: CA ZIP: 94588 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Intersect ENT, Inc. CENTRAL INDEX KEY: 0001271214 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 200280837 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1555 ADAMS DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-641-2100 MAIL ADDRESS: STREET 1: 1555 ADAMS DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 FORMER COMPANY: FORMER CONFORMED NAME: SINEXUS INC DATE OF NAME CHANGE: 20031124 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2020-02-03 false 0001271214 Intersect ENT, Inc. XENT 0001354228 Lehman David Aaron C/O INTERSECT ENT, INC. 1555 ADAMS DRIVE MENLO PARK CA 94025 false true false false EVP & General Counsel Common Stock 2020-02-03 4 A false 10740.00 0.00 A 68465.00 D Common Stock 2020-02-03 4 A false 10740.00 0.00 A 79205.00 D Stock Options (Right to buy) 26.18 2020-02-03 4 A false 21270.00 0.00 A 2030-02-03 Common Stock 21270.00 21270.00 D 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. Includes 51,034 restricted stock units, of which 42,534 are performance based. 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. Includes 61,774 restricted stock units, of which 42,534 are performance based. 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. /s/ David A. Lehman 2020-02-05