SEC Form 4 · accession 0001140361-15-038703
ORAMED PHARMACEUTICALS INC. · ORMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
REGALS CAPITAL MANAGEMENT LP
10% Owner
Period of report
Oct 23, 2015
Accepted (ET)
Oct 27, 2015 · 6:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001176309
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 896,364 | I | By Regals Fund LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call Option (Right to Buy)F1 | $10.00 | Oct 23, 2015 | P | 1,103 | A | Oct 23, 2015 | May 20, 2016 | Common Stock | 110,300 | 2,906 | I |
| Call Option (Right to Buy)F1 | $10.00 | Oct 27, 2015 | P | 1,000 | A | Oct 27, 2015 | May 20, 2016 | Common Stock | 100,000 | 3,906 | I |
| Call Option (Right to Buy)F1 | $10.00 | Oct 27, 2015 | P | 359 | A | Oct 27, 2015 | May 20, 2016 | Common Stock | 35,900 | 4,265 | I |
Explanation of responses
- F1This Form 4 is filed jointly by Regals Fund LP (the "Fund"), Regals Capital Management LP ("Regals Management"), and David M. Slager (collectively, the "Reporting Persons"). Mr. Slager is Managing Member of the general partner of Regals Management. Regals Management is the investment manager of the Fund. The securities reported herein are held for the account of the Fund. Accordingly, each of the Reporting Persons may be deemed to be a beneficial owner of the securities owned by the Fund for purposes of Rule 16a-1(a)(1) under the Securities Exchange Act of 1934, as amended (the "Act"). Pursuant to Rule 16a-1(a)(4) under the Act, Regals Management and Mr. Slager disclaim beneficial ownership in the securities owned by the Fund except to the extent, if any, of their pecuniary interest therein.