Amended Statement of Changes in Beneficial Ownership (4/a)
December 03 2021 - 06:11PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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
|
|
1. Name
and Address of Reporting Person * Bauerlein Alison |
2. Issuer Name and Ticker or Trading
Symbol Inogen Inc [ INGN ] |
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)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
12/16/2020
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
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)
|
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
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Bauerlein Alison
C/O INOGEN, INC.
301 COROMAR DRIVE
GOLETA, CA 93117 |
|
|
EVP, Finance, & CFO |
|
Signatures
|
/s/ Alison Bauerlein |
|
12/3/2021 |
**Signature of Reporting
Person |
Date |
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