SEC Form 4 · accession 0001385508-19-000008
OPIANT PHARMACEUTICALS, INC. · OPNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Crystal
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 4:51 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 | Jan 4, 2019 | M | 16,359 | $7.25 | A | 24,834 | D | |
| Common StockF3 | Jan 4, 2019 | S | 11,834 | $13.54 | D | 13,000 | D | |
| Common Stock | Jan 7, 2019 | M | 8,641 | $7.25 | A | 21,641 | D | |
| Common Stock | Jan 7, 2019 | M | 25,000 | $6.00 | A | 46,641 | D | |
| Common StockF4 | Jan 7, 2019 | S | 26,759 | $13.28 | D | 19,882 | D | |
| Common StockF5 | Jan 8, 2019 | S | 11,407 | $13.27 | D | 8,475 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option | $7.25 | Jan 4, 2019 | M | 16,359 | D | Oct 27, 2015 | Oct 26, 2025 | Common Stock | 16,359 | 433,641 | D |
| Option | $7.25 | Jan 7, 2019 | M | 8,641 | D | Oct 27, 2015 | Oct 26, 2025 | Common Stock | 8,641 | 425,000 | D |
| Option | $6.00 | Jan 4, 2019 | M | 25,000 | D | Dec 31, 2013 | Dec 30, 2023 | Common Stock | 25,000 | 50,000 | D |
Explanation of responses
- F1The option was exercised pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- F2The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- F3This transaction was executed in multiple trades at prices ranging from $13.47 to $13.66. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $13.22 to $13.50. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5This transaction was executed in multiple trades at prices ranging from $13.05 to $13.42. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.