Amended Statement of Changes in Beneficial Ownership (4/a)
December 03 2021 - 6:11PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bauerlein Alison |
2. Issuer Name and Ticker or Trading Symbol
Inogen Inc
[
INGN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Finance, & CFO |
(Last)
(First)
(Middle)
C/O INOGEN, INC., 301 COROMAR DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/15/2020 |
(Street)
GOLETA, CA 93117
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
12/16/2020 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/15/2020 | | M | | 8702 | A | $16.62 | 41172 (1) | D | |
Common Stock | 12/15/2020 | | S(2) | | 4449 | D | $39.439 (3) | 36723 (4) | D | |
Common Stock | 12/15/2020 | | S(2) | | 1904 | D | $40.42 (5) | 34819 (6) | D | |
Common Stock | 12/15/2020 | | S(2) | | 2349 | D | $41.33 (7) | 32470 (8) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $16.62 | 12/15/2020 | | M | | | 8702 | (9) | 3/31/2021 | Common Stock | 8702 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Originally filed Form 4 reported 11,017. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2020. |
(3) | Represents the weighted average share price of an aggregate total of 4,449 shares sold in the price range of $39.01 to $39.92 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(4) | Originally filed Form 4 reported 6,568. |
(5) | Represents the weighted average share price of an aggregate total of 1,904 shares sold in the price range of $40.18 to $40.69 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(6) | Originally filed Form 4 reported 4,664. |
(7) | Represents the weighted average share price of an aggregate total of 2,349 shares sold in the price range of $41.00 to $41.50 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
(8) | Originally filed Form 4 reported 2,315. |
(9) | Subject to the reporting person's continuing service, twenty-five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the vesting commencement date, and thereafter, one forty-eighth (1/48th) of the total shares subject to the option shall vest each month on the same day as the vesting commencement date. The vesting commencement date for this option is April 1, 2014. This option was fully vested as of April 1, 2018. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bauerlein Alison C/O INOGEN, INC. 301 COROMAR DRIVE GOLETA, CA 93117 |
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| EVP, Finance, & CFO |
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Signatures
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/s/ Alison Bauerlein | | 12/3/2021 |
**Signature of Reporting Person | Date |
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