0001494650-24-000010.txt : 20240229 0001494650-24-000010.hdr.sgml : 20240229 20240229160536 ACCESSION NUMBER: 0001494650-24-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240228 FILED AS OF DATE: 20240229 DATE AS OF CHANGE: 20240229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marino Michael F III CENTRAL INDEX KEY: 0001502700 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38241 FILM NUMBER: 24703549 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] ORGANIZATION NAME: 03 Life Sciences 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 wk-form4_1709240704.xml FORM 4 X0508 4 2024-02-28 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 2024-02-28 4 A 0 280000 0 A 613511 D Stock Option (Right to Buy) 1.815 2024-02-28 4 A 0 140000 0 A 2034-02-28 Common Stock 140000 140000 D Represents the grant of restricted stock units (RSUs). Twenty-five percent (25%) of the RSUs vest on February 28, 2025, and the balance vests in equal quarterly installments over the remaining three years of the four year period, subject to continued service with the Issuer provided that, in the event certain minimum performance criteria related to the net revenue and operating profit of OptiNose, Inc. are achieved, then any unvested RSUs shall become fully-vested subject to the Executive's continued service through such date. Each RSU represents the right to receive one share of common stock of OptiNose, Inc. The option vests and becomes exercisable over a four-year period commencing on February 28, 2024. Twenty-five percent (25%) of the option vests and becomes exercisable on February 28, 2025, and the balance vests in equal monthly installments (rounded down to the nearest whole share) over the remaining three years of the four-year period, subject to continued service with the Issuer. /s/ Anthony Krick, Attorney-in-Fact 2024-02-29