Filing Details
- Accession Number:
- 0001181431-13-001259
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-03 17:51:49
- Reporting Period:
- 2012-09-07
- Filing Date:
- 2013-01-03
- Accepted Time:
- 2013-01-03 17:51:49
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1389870 | Omni Bio Pharmaceutical Inc. | OMBP | Biological Products, (No Disgnostic Substances) (2836) | 208097969 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1011938 | Mark Steven Bathgate | 5350 South Roslyn Suite 430 Greenwood Village CO 80111 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-09-07 | 100,000 | $1.14 | 1,042,750 | No | 4 | P | Indirect | By GVC Partners LLC |
Common Stock | Disposition | 2012-09-07 | 125,000 | $0.25 | 917,750 | No | 4 | J | Indirect | By GVC Partners LLC |
Common Stock | Acquisiton | 2012-12-26 | 47,355 | $0.30 | 102,355 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By GVC Partners LLC |
No | 4 | J | Indirect | By GVC Partners LLC |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants (Right to Buy) | Acquisiton | 2012-12-12 | 19,124 | $0.00 | 19,124 | $1.00 |
Common Stock | Warrants (Right to Buy) | Acquisiton | 2012-12-12 | 19,124 | $0.00 | 19,124 | $1.50 |
Common Stock | Warrants (Right to Buy) | Acquisiton | 2012-12-14 | 10,800 | $0.00 | 10,800 | $1.00 |
Common Stock | Warrants (Right to Buy) | Acquisiton | 2012-12-14 | 10,800 | $0.00 | 10,800 | $1.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
19,124 | 2012-12-12 | 2017-07-31 | No | 4 | A | Indirect |
19,124 | 2012-12-12 | 2017-07-31 | No | 4 | A | Indirect |
10,800 | 2012-12-14 | 2017-10-31 | No | 4 | A | Indirect |
10,800 | 2012-12-14 | 2017-10-31 | No | 4 | A | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 30,000 | Indirect | By Bathgate Family Partnership Ltd. |
Common Stock | 604,000 | Indirect | By wife |
Common Stock | 50,000 | Indirect | By daughter |
Footnotes
- The reporting person is a Senior Managing Partner of GVC Partners LLC.
- Represents shares transferred to a third party in connection with a settlement agreement.
- Represents warrants issued by the issuer for services as placement agent in a private placement transaction of the issuer.
- The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of such securities for purposes of Section 16 or for any other purpose.