Filing Details
- Accession Number:
- 0001144204-17-063296
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-12 14:36:55
- Reporting Period:
- 2017-12-01
- Accepted Time:
- 2017-12-12 14:36:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1385508 | Opiant Pharmaceuticals Inc. | OPNT | Metal Mining (1000) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1657053 | Geoffrey Wolf | 520 White Plains Road, Suite 500, Tarrytown NY 10591 | No | No | Yes | 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, $.001 Par Value Per Share | Acquisiton | 2017-12-01 | 30,000 | $15.00 | 30,000 | No | 4 | C | Direct | |
| Common Stock, $.001 Par Value Per Share | Acquisiton | 2017-12-07 | 17,718 | $15.00 | 47,718 | No | 4 | C | Direct | |
| Common Stock, $.001 Par Value Per Share | Acquisiton | 2017-12-07 | 62,656 | $5.00 | 110,374 | No | 4 | C | Direct | |
| Common Stock, $.001 Par Value Per Share | Disposition | 2017-12-08 | 2,570 | $30.40 | 107,804 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants | Disposition | 2017-12-01 | 30,000 | $0.00 | 30,000 | $15.00 |
| Common Stock | Options | Disposition | 2017-12-07 | 35,000 | $0.00 | 17,718 | $15.00 |
| Common Stock | Options | Disposition | 2017-12-07 | 75,000 | $0.00 | 62,656 | $5.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 315,000 | 2017-09-01 | 2017-12-31 | No | 4 | C | Direct |
| 0 | 2017-09-01 | 2017-12-31 | No | 4 | C | Direct |
| 0 | 2024-06-14 | No | 4 | C | Direct |
Footnotes
- This Form 4 is a late filing reporting the changes in beneficial ownership of the Reporting Person as of December 11, 2017. This Form 4 was required to be filed within two business days of 12/01/2017, the date the Reporting Person acquired shares.
- These Warrants and Options could only be exercised between the following dates: (i) the earliest date on which the price per Share has traded at or above US$ 30.00 for at least three (3) trading days out of any ten (10) consecutive trading days; and (ii) the Expiration Date (December 31, 2017). These Warrants and Options became exercisable on September 1, 2017.
- These options could only be exercised between the following dates: (i) the first to occur of: (A) the commencement of the next trial with respect to the opioid overdose reversal treatment; (B) the entrance into a distribution, licensing, royalty, partnership, collaboration or other significant transaction with respect to the opioid overdose reversal treatment; or (C) the filing of a New Drug Application with the U.S. Food and Drug Administration with respect to the opioid overdose reversal treatment; and (ii) the Expiration Date (June 14, 2024).
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