SEC Form 4 · accession 0001615774-18-010304
Emmaus Life Sciences, Inc. · EMMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George C Carpenter IV
Officer — Chief Executive Officer
Period of report
Sep 28, 2018
Accepted (ET)
Oct 1, 2018 · 8:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000822370
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | Sep 28, 2018 | A | 13,513 | $1.85 | A | 98,806 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Purchase WarrantF2 | $2.00 | Sep 28, 2018 | A | 13,513 | A | Mar 24, 2019 | Sep 23, 2023 | Common Stock | 13,513 | 13,513 | D |
Explanation of responses
- F113,513 shares of Common Stock and Warrants to purchased 13,513 shares of Common Stock for $2.00 were purchased by the Reporting Person for an aggregate of $25,000 pursuant to a Subscription Agreement, dated September 21, 2018 (the "Subscription Agreement"), between the Issuer and the investors party thereto.
- F2Reporting Person purchased 13,513 units at a price of $1.85 per unit, with each unit consisting of (i) one share of Common Stock and (ii) one Common Stock Purchase Warrant to purchase one share of Common Stock for $2.00 per share.