SEC Form 4 · accession 0001144204-17-064730
OPIANT PHARMACEUTICALS, INC. · OPNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geoffrey Wolf
10% Owner
Period of report
Dec 13, 2017
Accepted (ET)
Dec 21, 2017 · 2:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001385508
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.001 par value per shareF1 | Dec 13, 2017 | S | 7,804 | $29.61 | D | 100,771 | D | |
| Common Stock, $.001 par value per share | Dec 18, 2017 | S | 27,134 | $20.68 | D | 73,637 | D | |
| Common Stock, $.001 par value per share | Dec 19, 2017 | A | 37,860 | $15.00 | A | 111,497 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $15.00 | Dec 19, 2017 | C | 37,850 | D | Sep 1, 2017 | Dec 31, 2017 | Common Stock | 37,850 | 277,150 | D |
Explanation of responses
- F1This Form 4 is a late filing reporting the changes in beneficial ownership of the Reporting Person as of December 19, 2017. This Form 4 was required to be filed within two business days of 12/13/2017, the date the Reporting Person sold shares.
- F2These Warrants could only be exercised between the following dates: (i) the earliest date on which the price per Share has traded at or above US$ 30.00 for at least three trading days out of any ten (10) consecutive trading days; and (ii) the Expiration Date (December 31, 2017). These Warrants became exercisable on September 1, 2017.