SEC Form 4 · accession 0001250853-18-000155
EMMAUS LIFE SCIENCES, INC. · EMMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yutaka Niihara
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Nov 30, 2018
Accepted (ET)
Dec 14, 2018 · 7:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001420031
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 30, 2018 | P | 5,000 | $10.00 | A | 5,000 | I | By Wife |
| Common StockF1 | holding | — | — | — | 55,556 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 9,657,489 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares shown are held of record by Hope International Hospice, Inc., of which the reporting person and his wife are the sole stockholders and directors and, as such, are deemed to be the beneficial owners of such shares.
- F2The shares shown consist of (a) 20,000 shares held of record by the reporting person, (b) 9,593,260 shares held of record jointly by the reporting person and his wife and (c) 44,229 shares held of record by the reporting person as custodian for one of his children and as to which he may be deemed the beneficial owner, since he has sole voting and investment control over such shares.