Filing Details
- Accession Number:
- 0001214659-19-005088
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-08-08 14:27:05
- Reporting Period:
- 2019-08-06
- Accepted Time:
- 2019-08-08 14:27:05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1427570 | Obalon Therapeutics Inc | OBLN | Surgical & Medical Instruments & Apparatus (3841) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1685640 | J. William Plovanic | C/O Obalon Therapeutics, Inc. 5421 Avenida Encinas, Suite F Carlsbad CA 92008 | President & Cfo | No | 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 | 2019-08-06 | 12,500 | $4.00 | 41,806 | 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 Stock | Warrants (Right to Buy) | Acquisiton | 2019-08-06 | 9,375 | $0.00 | 9,375 | $4.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,375 | 2019-08-06 | 2024-08-06 | No | 4 | P | Direct |
Footnotes
- Reflects price paid to underwriters in Issuer's registered offering.
- Includes Restricted Shares that are subject to vesting.
Billionaire Hedge Funds
