0000899243-22-034604.txt : 20221031 0000899243-22-034604.hdr.sgml : 20221031 20221031211601 ACCESSION NUMBER: 0000899243-22-034604 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220720 FILED AS OF DATE: 20221031 DATE AS OF CHANGE: 20221031 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosenthal Lee CENTRAL INDEX KEY: 0001938249 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40902 FILM NUMBER: 221348279 MAIL ADDRESS: STREET 1: C/O PARAGON 28, INC. STREET 2: 14445 GRASSLANDS DRIVE CITY: ENGLEWOOD STATE: CO ZIP: 80112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Paragon 28, Inc. CENTRAL INDEX KEY: 0001531978 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 273170186 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8310 SOUTH VALLEY HIGHWAY STREET 2: SUITE 3115 CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: 888-728-1888 MAIL ADDRESS: STREET 1: 8310 SOUTH VALLEY HIGHWAY STREET 2: SUITE 3115 CITY: ENGLEWOOD STATE: CO ZIP: 80112 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-07-20 0 0001531978 Paragon 28, Inc. FNA 0001938249 Rosenthal Lee C/O PARAGON 28, INC. 14445 GRASSLANDS DIVE ENGLEWOOD CO 80112 0 0 1 0 Common Stock 2022-07-20 4 M 0 42865 0.60 A 1185300 D Common Stock 2022-07-20 4 S 0 42865 18.6257 D 1142435 D Common Stock 2022-07-20 4 S 0 71061 18.6798 D 1071374 D Common Stock 2022-07-21 4 M 0 32135 0.60 A 1103509 D Common Stock 2022-07-21 4 M 0 25000 0.60 A 1128509 D Common Stock 2022-07-21 4 M 0 1036 1.20 A 1129545 D Common Stock 2022-07-21 4 S 0 58171 18.4838 D 1071374 D Common Stock 2022-07-21 4 S 0 27838 18.4681 D 1043536 D Common Stock 2022-07-22 4 G 0 5000 0.00 D 1038536 D Common Stock 2022-07-22 4 S 0 1541 18.2852 D 1036995 D Common Stock 2022-07-25 4 M 0 20813 1.20 A 1057808 D Common Stock 2022-07-25 4 S 0 20813 18.5266 D 1036995 D Common Stock 2022-07-25 4 S 0 37292 18.5097 D 999703 D Common Stock 2022-07-26 4 M 0 28151 1.20 A 1027854 D Common Stock 2022-07-26 4 M 0 21849 4.60 A 1049703 D Common Stock 2022-07-26 4 S 0 50000 18.8635 D 999703 D Common Stock 2022-07-26 4 S 0 6296 18.9046 D 993407 D Common Stock 2022-07-27 4 M 0 28151 4.60 A 1021558 D Common Stock 2022-07-27 4 M 0 17962 5.40 A 1039520 D Common Stock 2022-07-27 4 S 0 46113 19.4363 D 993407 D Common Stock 2022-07-27 4 S 0 84131 19.2884 D 909276 D Common Stock 2022-07-28 4 M 0 100 5.40 A 909376 D Common Stock 2022-07-28 4 S 0 100 19.54 D 909276 D Common Stock 2022-07-28 4 S 0 5080 19.0345 D 904196 D Common Stock 2022-07-29 4 S 0 1290 19.00 D 902906 D Common Stock 2022-08-01 4 S 0 6372 19.023 D 896534 D Common Stock 2022-08-03 4 S 0 73408 19.3198 D 823126 D Common Stock 2022-08-04 4 S 0 39937 19.5601 D 783189 D Common Stock 2022-08-05 4 S 0 119466 19.5555 D 663723 D Common Stock 2022-08-05 4 M 0 29748 5.40 A 693471 D Stock Option (Right to Buy) 0.60 2022-07-20 4 M 0 42865 0.00 D 2025-01-01 Common Stock 42865 32135 D Stock Option (Right to Buy) 0.60 2022-07-21 4 M 0 32135 0.00 D 2025-01-01 Common Stock 32135 0 D Stock Option (Right to Buy) 0.60 2022-07-21 4 M 0 25000 0.00 D 2025-12-31 Common Stock 25000 0 D Stock Option (Right to Buy) 1.20 2022-07-21 4 M 0 1036 0.00 D 2026-12-31 Common Stock 1036 48964 D Stock Option (Right to Buy) 1.20 2022-07-25 4 M 0 20813 0.00 D 2026-12-31 Common Stock 20813 28151 D Stock Option (Right to Buy) 1.20 2022-07-26 4 M 0 28151 0.00 D 2026-12-31 Common Stock 28151 0 D Stock Option (Right to Buy) 4.60 2022-07-26 4 M 0 21849 0.00 D 2027-12-31 Common Stock 21849 28151 D Stock Option (Right to Buy) 4.60 2022-07-27 4 M 0 28151 0.00 D 2027-12-31 Common Stock 28151 0 D Stock Option (Right to Buy) 5.40 2022-07-27 4 M 0 17962 0.00 D 2028-12-31 Common Stock 17962 32038 D Stock Option (Right to Buy) 5.40 2022-07-28 4 M 0 100 0.00 D 2028-12-31 Common Stock 100 31938 D Stock Option (Right to Buy) 5.40 2022-08-05 4 M 0 29748 0.00 D 2028-12-31 Common Stock 29748 2190 D Stock Option (Right to Buy) 5.40 2022-08-08 4 M 0 2190 0.00 D 2028-12-31 Common Stock 2190 0 D Stock Option (Right to Buy) 6.60 2022-08-08 4 M 0 25000 0.00 D 2029-12-31 Common Stock 25000 0 D Stock Option (Right to Buy) 6.60 2022-08-08 4 M 0 12500 0.00 D 2030-12-31 Common Stock 12500 12500 D The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.60 to $18.82 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.35 to $18.975 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.45 to $18.63 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.33 to $18.625 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.03 to $18.58 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.50 to $18.645 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.45 to $18.64 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.85 to $18.91 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.25 to $19.59 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $18.905 to $19.60 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.51 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.06 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.60 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $20.00 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.00 to $19.7775 inclusive. The reporting person undertakes to provide 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 the range set forth in this footnote. The option is fully vested and exercisable. 50% of the shares subject to the option vest annually measured from December 31, 2020 (the 'Vesting Commencement Date'), such that 100% of the shares subject to the option will be fully vested and exercisable on the second anniversary of the Vesting Commencement Date. Form 4 (1 of 2) /s/ Lee Rosenthal 2022-10-31