Filing Details

Accession Number:
0000899243-19-021334
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-08-08 11:10:32
Reporting Period:
2019-08-06
Accepted Time:
2019-08-08 11:10:32
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1427570 Obalon Therapeutics Inc OBLN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1207833 L Arnold Oronsky 2710 Sand Hill Road, Suite 200
Menlo Park CA 94025
No No Yes No
1276600 Khaled Nasr 2710 Sand Hill Road, Suite 200
Menlo Park CA 94025
No No Yes No
1293171 H Gilbert Kliman 2710 Sand Hill Road, Suite 200
Menlo Park CA 94025
No No Yes No
1443898 Interwest Partners X Lp 2710 Sand Hill Road, Suite 200
Menlo Park CA 94025
No No Yes No
1460207 Interwest Management Partners X, Llc 2710 Sand Hill Road, Suite 200
Menlo Park CA 94025
No No Yes No
1553019 Keval Desai 2710 Sand Hill Road, Suite 200
Menlo Park CA 94025
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 Acquisiton 2019-08-06 25,000 $4.00 380,224 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Warrants (Right to buy) Acquisiton 2019-08-06 18,750 $0.00 18,750 $4.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
18,750 2019-08-06 2024-08-05 No 4 P Direct
Footnotes
  1. The reporting persons purchased these shares directly from the underwriter in the Issuer's registered offering of Common Stock with 75% warrant coverage at a price of $4.00 per unit. There was no additional consideration paid for the warrants.
  2. These securities are held of record by InterWest Partners X, L.P. ("IW10"). InterWest Management Partners X, LLC ("IMP10") is the general partner of IW10 and has sole voting and investment control over the shares owned by IW10. Gilbert H. Kliman, and Arnold L. Oronsky are Managing Directors of IMP10 and, Keval Desai and Khaled A. Nasr, and are Venture Members of IMP10. Douglas Fisher, a Member of IMP10 is also a Director of the Issuer, and when required, files a separate Form 4 in his own name. All Reporting Persons disclaim beneficial ownership of shares of Obalon Therapeutics, Inc. stock held by IW10, except to the extent of their respective pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1944, or otherwise, any of the Reporting Persons are the beneficial owner of all of the equity securities covered by this statement.