SEC Form 4 · accession 0001209191-16-156581
Outlook Therapeutics, Inc. · OTLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth A. Yamashita
Officer — VP, Regulatory Affairs
Period of report
Dec 21, 2016
Accepted (ET)
Dec 22, 2016 · 6:02 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,F2 | Dec 21, 2016 | A | 45,000 | $0.00 | A | 88,478 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.
- F2The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.