SEC Form 4 · accession 0001144204-18-002648
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 14, 2017
Accepted (ET)
Jan 18, 2018 · 3:48 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 StockF1 | Dec 19, 2017 | C | 37,860 | $15.00 | A | 111,497 | D | |
| Common Stock | Dec 14, 2017 | C | 20,000 | $15.00 | A | 131,497 | D | |
| Common Stock | Dec 19, 2017 | S | 3,850 | $19.69 | D | 127,647 | D | |
| Common stock | Dec 20, 2017 | S | 69,016 | $22.75 | D | 57,850 | D | |
| Common Stock | Dec 21, 2017 | S | 20,000 | $24.17 | D | 37,850 | D | |
| Common Stock | Dec 21, 2017 | C | 109,000 | $15.00 | A | 146,850 | D | |
| Common stock | Dec 22, 2017 | C | 32,000 | $15.00 | A | 178,850 | D | |
| Common Stock | Dec 27, 2017 | S | 37,850 | $21.51 | D | 141,000 | D | |
| Common Stock | Dec 28, 2017 | S | 43,000 | $22.52 | D | 98,000 | D | |
| Common stock | Dec 28, 2017 | C | 116,150 | $15.00 | A | 214,150 | 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 | 37,860 | A | Sep 1, 2017 | Dec 31, 2017 | Common Stock | 37,860 | 203,010 | D |
| Warrants | $15.00 | Dec 14, 2017 | C | 20,000 | A | Sep 1, 2017 | Dec 31, 2017 | Common Stock | 20,000 | 168,160 | D |
| Warrants | $15.00 | Dec 21, 2017 | C | 109,000 | A | Sep 1, 2017 | Dec 31, 2017 | Common Stock | 109,000 | 148,150 | D |
| Warrants | $15.00 | Dec 22, 2017 | C | 32,000 | A | Sep 1, 2017 | Dec 31, 2017 | Common Stock | 32,000 | 116,150 | D |
| Warrants | $15.00 | Dec 28, 2017 | C | 116,150 | A | Sep 1, 2017 | Dec 31, 2017 | Common Stock | 116,150 | 0 | D |
Explanation of responses
- F1This Form 4 is a late filing reporting the changes in beneficial ownership of the Reporting Person as of January 17, 2018. This Form 4 was required to be filed within two business days of December 14, 2017, the date the Reporting Person acquired shares.
- F2These Warrants could only be exercised between the following dates: (i) the earliest date on which the price per Share has traded at or above US$ 30.00 for at least three (3) 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.