SEC Form 4 · accession 0001209191-16-121185
Outlook Therapeutics, Inc. · OTLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pankaj Mohan
Officer — President & CEO · Director · 10% Owner
Period of report
May 18, 2016
Accepted (ET)
May 18, 2016 · 1:24 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 11, 2016 | C | 17,666 | $0.00 | A | 39,405 | I | By his child, Pankhuri Mohan |
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 | 106 | D | — | — | Common Stock | — | 0 | I |
Explanation of responses
- F1The 106 shares of Series A Preferred Stock beneficially owned by the reporting person's child 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 $106,000 by the IPO price per share of common stock included in the units sold in the IPO.
- F2N/A.
- F3There is no expiration date.