Filing Details
- Accession Number:
- 0000904454-19-000602
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-08-08 16:27:47
- Reporting Period:
- 2019-08-06
- Accepted Time:
- 2019-08-08 16:27:47
- 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 |
---|---|---|---|---|---|---|---|
1535065 | P. Kim Kamdar | C/O Domain Associates, Llc 202 Carnegie Center, Suite 104 Princeton NJ 08540 | 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 | 2019-08-06 | 12,500 | $4.00 | 27,148 | 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 to Purchase Common Stock | Acquisiton | 2019-08-06 | 9,375 | $4.00 | 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
- The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.
- The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019
- Includes 1,340 shares held jointly with the Reporting Person's mother. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest, if any, therein.