SEC Form 4 · accession 0001209191-16-121073
Outlook Therapeutics, Inc. · OTLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Bahrt
Officer — Chief Medical Officer
Period of report
May 13, 2016
Accepted (ET)
May 17, 2016 · 8:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001649989
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 13, 2016 | P$0 | 2,000 | — | A | 2,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrants (right to buy)F1,F2 | $6.60 | May 13, 2016 | P | 1,000 | A | — | Feb 18, 2017 | Common Stock | 1,000 | 1,000 | D |
| Series B Warrants (right to buy)F1,F2 | $8.50 | May 13, 2016 | P | 1,000 | A | — | May 18, 2018 | Common Stock | 1,000 | 1,000 | D |
Explanation of responses
- F1The reported securities are included within 2,000 Units purchased by the reporting person for $6.00 per Unit. Each Unit consists of one share of common stock, one half of a Series A warrant to purchase one share of common stock and one half of a Series B Warrant to purchase one share of common stock
- F2The Series A Warrants and Series B Warrants will be exercisable 30 days after 5/12/16 or on such date the underwriters separate the units, whichever date is earlier.