SEC Form 4 · accession 0001209191-16-156824
Outlook Therapeutics, Inc. · OTLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Canute
Director
Period of report
Dec 22, 2016
Accepted (ET)
Dec 27, 2016 · 4:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001649989
Table I — non-derivative securities
No Table I lines on this filing.
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)F2,F1 | $3.00 | Dec 22, 2016 | P | 80,500 | A | — | Dec 22, 2021 | Common Stock | 80,500 | 80,500 | D |
Explanation of responses
- F1Immediately exercisable.
- F2The Reporting Person acquired a Senior Secured Note in the principal amount of $350,000 together with a Warrant to purchase 80,500 shares of the common stock of the Issuer in exchange for the Reporting Person's Unsecured Bridge Note in the principal amount of $350,000.