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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Myers Byron C/O INOGEN, INC. 326 BOLLAY DRIVE GOLETA, CA 93117 |
EVP, Sales and Marketing |
/s/ Alison Bauerlein, as Attorney-in- Fact | 03/05/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reported securities represent shares of restricted stock, 25% of which shall vest on March 1, 2020, and 1/16th of which shall vest every three months thereafter on the 1st day of the month, subject in each case to the reporting person remaining a service provider through each such applicable vesting date. |
(2) | The reported securities represent shares earned and vested on March 1, 2019 based on achievement of the financial performance conditions for the 2018 fiscal year that were approved as part of the 2017 performance-based restricted stock award granted on August 8, 2017. |
(3) | The reported shares were withheld in a net issuance to cover the Reporting Person's tax withholding liability in connection with the portion of a performance-based restricted stock award that was earned and vested on March 1, 2019. |
(4) | The reported securities represent shares earned and vested on March 1, 2019 based on achievement of the financial performance conditions for the 2018 fiscal year that were approved as part of the 2018 performance-based restricted stock award granted on March 2, 2018. |
(5) | The reported shares were withheld to cover the Reporting Person's tax withholding liability in connection with a portion of a time-based restricted stock award that vested on March 1, 2019. |