Filing Details
- Accession Number:
- 0001385508-21-000136
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-09-16 16:14:53
- Reporting Period:
- 2021-09-14
- Accepted Time:
- 2021-09-16 16:14:53
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1385508 | Opiant Pharmaceuticals Inc. | OPNT | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1689819 | T. Thomas Thomas | C/O Opiant Pharmaceuticals, Inc. 233 Wilshire Blvd. Suite 280 Santa Monica CA 90401 | 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 | 2021-09-14 | 25 | $10.00 | 6,678 | No | 4 | M | Direct | |
Common Stock | Disposition | 2021-09-14 | 15 | $18.95 | 6,663 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2021-09-14 | 1,500 | $10.00 | 8,163 | No | 4 | M | Direct | |
Common Stock | Disposition | 2021-09-14 | 792 | $19.06 | 7,371 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2021-09-14 | 1,500 | $10.00 | 8,871 | No | 4 | M | Direct | |
Common Stock | Disposition | 2021-09-14 | 764 | $19.70 | 8,107 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | Disposition | 2021-09-14 | 25 | $0.00 | 25 | $10.00 |
Common Stock | Stock Option (right to buy) | Disposition | 2021-09-14 | 1,500 | $0.00 | 1,500 | $10.00 |
Common Stock | Stock Option (right to buy) | Disposition | 2021-09-14 | 1,500 | $0.00 | 1,500 | $10.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
6,834 | 2021-11-03 | No | 4 | M | Direct | |
5,334 | 2021-11-03 | No | 4 | M | Direct | |
3,834 | 2021-11-03 | No | 4 | M | Direct |
Footnotes
- The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 10, after selling to cover the exercise price, will be held by the Reporting Person.
- The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 708, after selling to cover the exercise price, will be held by the Reporting Person.
- The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 736, after selling to cover the exercise price, will be held by the Reporting Person.
- The option was exercised pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- On November 4, 2016, the reporting person was granted an option to purchase 35,000 shares of Common Stock. The options vest as follows: (i) 11,667 share upon the up listing of the Issuer to The NASDAQ Stock Market (which occurred on August 29, 2017); (ii) 11,667 shares upon the cumulative funding of the Issuer in excess of $5,000,000 by institutional investors, commencing May 5, 2016 (which performance criteria was met on December 13, 2016); and (iii) 11,666 shares upon the first submission of a New Drug Application ("NDA") to the FDA for one of Issuer's products by either the Issuer or an Issuer licensee.