SEC Form 4 · accession 0001209191-16-121183
Outlook Therapeutics, Inc. · OTLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd C Brady
Director
Period of report
May 18, 2016
Accepted (ET)
May 18, 2016 · 1:23 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 18, 2016 | C | 66,333 | $0.00 | A | 124,303 | 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 Preferred StockF1,F2,F3 | $0.00 | May 18, 2016 | C | 398 | D | — | — | Common Stock | — | 0 | D |
Explanation of responses
- F1The reporting person's 398 shares of Series A Preferred Stock automatically converted into common stock immediately prior to the closing of the Issuer's initial public offering ("IPO") based on dividing the aggregate liquidation preference of $398,000 by the IPO price per share included in the units sold in the IPO.
- F2N/A
- F3There is no expiration date.