SEC Form 4 · accession 0001209191-16-152515
Outlook Therapeutics, Inc. · OTLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hoke Robin Smith
Director
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 5:27 pm EST
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 | Nov 28, 2016 | J | 1,939 | $0.00 | A | 1,939 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy)F1,F2 | $0.01 | Nov 28, 2016 | J | 1,260 | A | — | Nov 8, 2019 | Common Stock | 1,260 | 1,260 | D |
Explanation of responses
- F1Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.
- F2Immediately exercisable.