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
- 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.
- 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.