SEC Form 4 · accession 0001214659-16-014638
Outlook Therapeutics, Inc. · OTLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Canute
Director
Period of report
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 6:18 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | Nov 9, 2016 | C | 57,971 | $0.00 | D | 0 | D | |
| Common StockF2 | Nov 9, 2016 | M | 57,971 | — | A | 188,934 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Granted pursuant to the Issuer's 2015 Equity Incentive Plan.
- F2Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.
- F3The RSUs vest upon the first to occur of (x) a change of control as defined in the award agreement and (y) the expiration of the 6 month lock-up period following the Issuer's initial public offering ("IPO"), in each case subject to continued service through such event.